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Investment Misconduct Blog

Wells Fargo

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

Adam J. Marquardt August 31, 2018

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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Customer Disputes against Former Wells Fargo Broker David Manor

Adam J. Marquardt August 6, 2018

According to FINRA public records, former broker David Manor has two disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Manor between January 2016 and April 2018.  The first claim alleged misrepresentation of an investment and an unsuitable investment recommendation.  This claim settled

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Twelve Customer Disputes against Wells Fargo Broker Regan Rohl

Adam J. Marquardt June 14, 2018

According to FINRA public records, broker Regan Allen Rohl has twelve disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Rohl’s customers filed the claims between May 1999 and February 2018.  The seven most recent claims were filed in 2017 and 2018 and allege unsuitable investments and misrepresentations

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Dallas York Barred During Investigation into Whether He Withdrew Customer Funds

Adam J. Marquardt May 31, 2018

FINRA recently barred former securities broker Dallas York from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. FINRA announced the bar in its order publicly released on April 16, 2018.  FINRA stated in the order that it barred York because he failed to

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Marcus Duane Parker, former Wells Fargo broker, Barred During Investigation into Possible Theft

Adam J. Marquardt May 4, 2018

On February 16, 2018, FINRA announced that it barred securities broker Marcus Duane Parker from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Parker when he failed to respond to

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Charles Henry Frieda, Former Wells Fargo Broker, Named in Fifty-Three Investor Complaints for Unsuitable Oil and Gas Investment Strategies

Adam J. Marquardt March 10, 2018

According to public records recently published by the Financial Industry Regulatory Authority (FINRA), investors have filed fifty-three separate FINRA arbitration claims against former Wells Fargo broker Charles Henry Frieda.  While at Wells Fargo, Charles Frieda partnered with another broker, Charles Lynch, who was also involved in the alleged conduct.  The claims alleged Charles Frieda recommended

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Charles Bernard Lynch, Jr., Former Wells Fargo Broker, Named in Fifty-Six Investor Complaints for Unsuitable Oil and Gas Investment Strategies

Adam J. Marquardt March 9, 2018

According to public records recently published by the Financial Industry Regulatory Authority (FINRA), investors have filed fifty-six separate FINRA arbitration claims against former Wells Fargo broker Charles Bernard Lynch, Jr.  The claims alleged Charles Lynch recommended and misrepresented unsuitable investments to his clients between 2012 and 2017. Fifty-four of the claims were filed between January

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Former Wells Fargo Broker, Jeffrey Palish, Arrested Following Theft Accusations

Adam J. Marquardt February 23, 2018

The Bergen County Prosecutor’s Office reported that former financial advisor Jeffrey H. Palish, from Woodcliff Lake, New Jersey, was arrested on February 21, 2018 following accusations he stole money from his elderly clients.   Detectives from Bergen County arrested Palish in Paramus, New Jersey and the Bergen County Prosecutor’s Office has charged him with theft by

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