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Investor Rights Blog

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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The Law Firm of David Chase is currently reviewing multiple customer allegations of unsuitable investment recommendations, negligence and breach of fiduciary duty that have been made against former Plano, Texas-based VFG Securities stock broker Mark Trewitt. These various customer complaints allege over $3 million in damages. Trewitt is not currently employed by a FIRNA brokerage firm.  Previously, he was employed by VFG Securities based in Plano, TX. Financial advisers are required to recommend only appropriate...
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The Law Firm of David Chase is investigating the circumstances surrounding the suspension and subsequent termination of Aurora, Indiana-based broker Daniel Doogs by Ameriprise Financial, which allegedly involved a violation by Doogs of Ameriprise’s policy relating to borrowing from, and lending money to, customers. Ameriprise Financial, on the Form U-5 of Doogs, stated the following as to the basis for his suspension and ultimate termination: “The registered representative was suspended on May 5, 2017 and...
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The Law Firm of David Chase is reviewing multiple customer allegations of stock broker misconduct, including unsuitable investments and excessive trading, made against Las Cruces, New Mexico-based Wells Fargo broker Jeffery Wilson. In one arbitration case, a FINRA arbitration panel awarded damages of $357,000 in favor of Wilson’s customer on allegations of unsuitable investments. In another customer complaint alleging excessive trading and unsuitability, Wells Fargo settled for $275,000. Wilson is currently employed by Wells Fargo...
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The Law Firm of David Chase, headed by stock broker fraud lawyer David Chase, is reviewing a customer’s allegations leveled against Dallas, Texas-based Merrill Lynch broker Matthew Ashley. The customer complaint, filed in May 2017, alleges misconduct involving: misrepresentation, unsuitable recommendations, misappropriation of funds and excessive trading, and seeks $5 million in damages.  The complaint is pending. Excessive trading, commonly referred to as churning, takes place where a stock broker controls the customer’s account and...
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