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Author: Zamansky LLC

Zamansky LLC Investigates “Selling Away” Claims by Customers of Anthony B. Liddle and Prosper Wealth Management

January 30, 2023 Investigations

On January 24, 2023, the SEC filed a complaint against Anthony B. Liddle (Liddle) alleging that, from June 2019 through May 2022, he engaged in an investment fraud scheme and misappropriated approximately $1.9 million from his clients.  Liddle controlled an investment advisor company, Prosper Wealth Management, LLC (“PWM”) located in […]

Zamansky LLC Investigates Paulson Investment Company Over Customer Losses from Variable Interest Rate Structured Products Including “Steepeners”

January 27, 2023 Investigations

On January 23, 2023, Paulson Investment Company, LLC (Paulson) agreed to a censure, a fine of $150,000 and to make restitution to 60 customers in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. This disciplinary action was the result of FINRA allegations that Paulson, from January 2016 through […]

Zamansky LLC Investigates Losses from Call Writing Strategies Suffered at Morgan Stanley and Merrill Lynch Due to Investment Fraud

January 25, 2023 Investigations

On December 1, 2022, a Financial Industry Regulatory Authority (FINRA lawsuit) arbitration panel awarded a customer of Morgan Stanley $11.5 million in damages for losses suffered in a call writing option strategy.  The arbitration panel also awarded the investor $157,656 in costs and other associated fees.  The losses were suffered […]

Zamansky LLC Investigates James K. Couture and LPL Financial for Investment Fraud, Theft of Customer Funds

January 20, 2023 Investigations

In January 2023, James K. Couture of Worcester, Massachusetts who had pled guilty in September to being involved in an investment fraud scheme to steal $2.8 million from six clients was sentenced to 100 months, more than eight years, in prison.  “From approximately 2009 to 2020, Couture misappropriated approximately $2.8 […]

Zamansky LLC Investigates Center Street Securities Inc. and Moloney Securities Co. Over GPB Automotive and GPB Holdings Disclosure Failures

January 13, 2023 Investigations

The law firm is investing in Nashville-based Center Street Securities Inc. and Missouri-based Moloney Securities Co. Inc. for disclosure failures concerning GPB Automotive and GPB Holdings due to potential investment fraud.    On December 29, 2022, the Financial Industry Regulatory Authority (FINRA) found, in a regulatory proceeding, that between May 4, […]

Zamansky LLC Investigates FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial Over GPB Automotive Disclosure Failures

January 11, 2023 Investigations

The law firm is investing in FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial for disclosure failures concerning GPB Automotive due to potential investment fraud.    On November 30, 2022, the Financial Industry Regulatory Authority (FINRA) found, in a regulatory proceeding, that FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial […]

Zamansky LLC Files $750,000 Investment Fraud Arbitration Claim against RBC Capital Markets for a 78 Year-Old Investor

December 21, 2022 Alternative Investment Lawyer

On behalf of a 78 year-old retiree, we filed a FINRA arbitration investment fraud claim to recover $750,000 in losses against RBC Capital Markets LLC (RBC). The investment fraud claim alleges that, in early 2022, a conservative investor’s accounts were re-allocated by RBC aggressively into managed stocks and corporate bonds […]

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