Investment Misconduct Blog

Marquardt Law Office LLC is representing investors in 1 Global Capital. If you lost money to 1 Global Capital or 1 West Capital, call (312) 945-6065 to schedule a free consultation or click here to read more.

Leona Lynn Parsons Sentenced to Three Years for Stealing from Senior Clients

On September 5, 2018, the San Diego Union Tribune reported that former financial adviser Leona Lynn Parsons (Leona Parsons) was sentenced to three years in prison.  Parsons’ sentence follows her pleading guilty on August 8 to charges that she stole about $300,000 from four of her senior clients. Parsons reportedly either borrowed large sums from

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Customer Disputes against Former Broker Brandon Curt Stimpson

According to FINRA public records, former Logan, Utah based broker Brandon Curt Stimpson has eight disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the claims against Stimpson or his firm, Allegis Investment Advisors, between August 2015 and December 2017.  Customers alleged Stimpson engaged in misconduct

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Settled Claims Implicating Ex-Broker John Greg Schmidt Exceed $1.7 Million

According to FINRA public records, former Dayton, Ohio based broker John Greg Schmidt (Greg Schmidt or John Gregory Schmidt) has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms.  Wells Fargo discharged Schmidt in November 2017. Between October 2007 and January 2018, customers filed private arbitration claims

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Invest with Brian Royster? Two of the Barred Broker’s Customers Recently Settled Claims.

According to FINRA public records, barred broker Brian Lamont Royster (Brian Royster) has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Between October 2013 and January 2018, customers filed disputes seeking damages for Brian Royster’s alleged misconduct.  Allegations include he recommended and misrepresented annuities that were

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Alex G. Herrera Former Clients May Still Have Options to Recover Investment Losses

Marquardt Law Office LLC is interested in speaking with individuals who lost money while investing with Alex G. Herrera. On August 8, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former UBS securities broker and investment adviser from associating with firms registered with FINRA.  FINRA registers and regulates brokers and brokerage firms. In

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Former UBS Broker John Cochran Maccoll Charged with Embezzling Clients’ Money

If you or someone you know invested with John Cochran Maccoll, call Marquardt Law Office LLC at (312) 945-6065 to receive a free consultation about investment recovery options. Marquardt Law Office LLC previously reported UBS Financial Services Inc. discharged Maccoll amid its investigation he stole clients’ funds and had several customer claims.  Maccoll previously worked

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Ten Customer Disputes for Barred Broker Matt Scott Neas

According to FINRA public records, former broker Matt Scott Neas has ten disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Neas between March 2004 and February 2018.  Six disputes have settled for amounts ranging $75,000 to $300,000.  One dispute was closed with

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