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Failure to Supervise

Recovery Options for Nina Sue Jessee Investors

If you experienced losses while investing with Nina Sue Jessee of Abingdon, Virginia, receive a free consultation about your recovery options by calling Marquardt Law Office LLC at (312) 945-6065.  Marquart Law Office LLC is pursuing a case to seek a recovery of investment losses allegedly caused by Nina Sue Jessee while she was registered …

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SEC Charges Bankrupt 1 Global Capital and Its CEO of Operating Alleged $287 Million Loan Fraud

There is a new development in the 1 Global Capital and 1 West Capital bankruptcy and fraud investigations previously reported by Marquardt Law Office LLC. On August 29, 2018, the Securities and Exchange Commission (“SEC”) announced it filed charges against 1 Global Capital LLC and its CEO, Carl Ruderman.  The SEC filed its complaint in …

SEC Charges Bankrupt 1 Global Capital and Its CEO of Operating Alleged $287 Million Loan Fraud Read More »

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 …

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

Pinnacle Investors May Have Recovery Options from 1 Global Capital and 1 West Capital Losses

Marquardt Law Office LLC previously reported that financial advisors sold investments in 1 Global Capital and 1 West Capital to investors nationwide.  These companies are bankrupt and under investigation for fraud. According to the Kansas City Star, Kansas City area advisors were among the sellers of 1 Global Capital and 1 West Capital investments.  The …

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Bankrupt 1 Global Capital and 1 West Capital Investigated by SEC and U.S. Attorneys

UPDATE: The Securities and Exchange Commission filed charges against 1 Global Capital, its CEO Carl Ruderman, 1 West Capital, and others.  Click here to read more. Investment advisors sold investments in 1 Global Capital and 1 West Capital to thousands of investors nationwide.  1 Global Capital and 1 West Capital are affiliated companies that are …

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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 …

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

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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Customer Disputes against Former Broker Frederick Mueller Allege Unsuitable Investments and Unauthorized Trades

According to FINRA public records, former broker Frederick August Mueller Jr. has six disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Mueller between July 2012 and February 2018.  Two claims have settled for $30,000 and $330,000.  One claim was closed with no …

Customer Disputes against Former Broker Frederick Mueller Allege Unsuitable Investments and Unauthorized Trades Read More »

Allegations of Excessive Trading and Unsuitable Investment Recommendation for Merrill Lynch Broker Charles Kenahan

According to FINRA public records, broker Charles Ernest Kenahan has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Kenahan between February 2018 and May 2018.  All claims are pending and allege excessive trading and unsuitable investment recommendations.  The most recent claim …

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