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Investor Rights Blog

The Law Firm of David R. Chase, representing defrauded stock market investors throughout the nation, is examining multiple customer allegations of serious misconduct regarding former J.P. Morgan Securities stockbroker Rick Konecny. In March 2016, a client of Rick Konecny alleged that he overconcentrated her investments, through unsuitable and unauthorized trades, in several energy and natural resource stocks between 2013 and 2015. The customer sought damages of $1 million and JP Morgan Securities paid $375,000 in...
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The Law Firm of David Chase, representing defrauded stock market investors throughout the country, is investigating the Form U-5 statements made by ProEquities, the former employing brokerage firm of stockbroker Michael Patrick McTigue, concerning the circumstances surrounding McTigue’s voluntary resignation from the firm. ProEquities indicated that it had discovered “issues” during a branch inspection of the office Michael McTigue concerning: use of an unapproved email address, use of an unapproved performance report, customer signature discrepancies...
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The Law Firm of David Chase, representing defrauded stock market investors nationwide, is reviewing allegations concerning former LPL Financial LLC stockbroker Thomas Breslin Jr. after he was discharged by LPL Financial for directing clients to an unapproved investment in violation of firm policy. The law firm is also reviewing allegations made by the Financial Industry Regulatory Authority, FINRA, against Thomas Breslin Jr. apparently for the same problematic private securities transactions. In or about October 2017,...
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The Law Firm of David Chase, representing defrauded stock market investors nationwide, is reviewing allegations concerning former United Planner’s Financial Services of America stockbroker Jerry Lou Guttman after he was sanctioned by the Financial Industry Regulatory Authority, FINRA, and permanently barred from the securities industry. In or about November 2017, Jerry Lou Guttman consented, without admitting or denying the findings, to FINRA sanctions and to the entry of FINRA findings that he sold more than...
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The Law Firm of David Chase, representing defrauded stock market investors nationwide, is reviewing allegations concerning former LPL Financial LLC stockbroker Terrence Diehl after he was discharged by LPL Financial for participating in private securities transactions without approval in violation of firm policy. The law firm is also reviewing allegations made by the Financial Industry Regulatory Authority, FINRA, against Terrence Diehl apparently arising out of the same improper private securities transactions. In or about October...
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The Law Firm of David Chase is reviewing a customer’s arbitration allegations of an unsuitable overconcentration in energy sector limited partnership investments made against Norwell, Massachusetts based RBC Capital Markets broker Bruce T. Cameron.  The customer’s FINRA arbitration case resulted in an award of damages of $688,079.00. Overconcentration is a form of an unsuitable investment recommendation made by a stock broker or financial advisor. Overconcentration takes place where the advisor improperly recommends the purchase of...
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The Law Firm of David Chase, headed by stock broker fraud attorney David Chase, is reviewing allegations of serious stock broker misconduct made by multiple former customers of Charlotte, North Caroline-based Northwest Mutual Investment Services broker Sampson Pearson. Many of the customer complaints, some of which have now been paid out and settled, claim that Pearson made unauthorized policy loan withdrawals from their variable and non-variable insurance policies.  Pearson has been alleged to have engaged...
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