Fraud

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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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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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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Invest in United RL, Percipience, or First Nationale? You May Be Able to Recover Your Losses.

Marquardt Law Office has received calls about losses in United RL Capital Services and Percipience Global Corporation.  The firm is interested in speaking with any individuals whose broker or investment advisor was involved in their investing in these companies or First Nationale Solution. On June 19, 2018, the Securities and Exchange Commission (“SEC”) filed federal

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Invest with Holly Marie Maurer or Ernest Romer? The CoreCap Brokers Have Eighteen Combined Pending Customer Disputes

According to FINRA public records, CoreCap Investments broker Holly Marie Maurer has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Holly Maurer’s customers filed the claims between August 2017 and March 2018.  All claims are pending and request damages from $110,000 to $250,000.  The customer claims

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Raymond James Broker Matt Werthe has Three Disclosed Customer Disputes

FINRA public records, show three disclosed customer disputes against broker Matthew Jordan Werthe.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed claims against Matt Werthe between August 2016 and April 2018.  The claims are pending and request damage amounts of $252,641, $362,000, and $728,000.  Records state that allegations

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