The Financial Industry Regulatory Authority (FINRA) mandated that Oppenheimer & Co. Inc. compensate several victims of a Ponzi scheme with nearly $14 million. The scheme, which targeted 400 elderly investors, was orchestrated by a former Oppenheimer broker, John J. Woods. These investors purchased shares in the purported Ponzi scheme, known as the Horizon Private Equity […]
William Worthen King, also known as Bill King, is a stockbroker currently employed by Merrill Lynch, Pierce, Fenner & Smith Inc. He has been with the firm since 1985, working in offices in New York City, Vero Beach, Florida, and Chester, New Jersey. Recently, King (CRD# 7691) has faced multiple customer complaints alleging unauthorized trading
Bill King (Merrill Lynch) Investigated By Investment Fraud Lawyers Read More »
Jerome Samuel Aron (CRD# 5213998) is a financial advisor currently working at Signet Wealth Management, which operates under the business name LPL Financial. With over 11 years of experience in the financial industry, Aron has built a reputation as a wealth manager. However, recent complaints and investigations related to his professional conduct have raised concerns
LPL Financial Advisor Jerome Aron Receives Complaints From GWG Holdings Sales Read More »
Elder financial abuse is a growing problem that occurs when someone illegally or improperly uses an elder’s money or belongings for their own personal use. Haselkorn & Thibaut is a law firm specializing in investment fraud cases with over 50 years of industry experience, and they can also help victims of elder financial abuse. Signs
Elder Financial Abuse and How Haselkorn & Thibaut Can Help Read More »
The Financial Industry Regulatory Authority (FINRA) recently fined and suspended Matthew J. Mangini, a former registered representative with Fidelity Brokerage Services, LLC, for violations of FINRA rules. This disciplinary action by FINRA raises important questions about the impact on investor rights and protections. In this blog post, we will examine the details of Mangini’s case,
FINRA Fines and Suspends Matthew Mangini: Understanding the Impact on Investor Rights Read More »