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Our firm is investigating potential investment fraud claims by customers of Lighthouse Capital Group, LLC (Lighthouse Capital Group) in Pasadena, California. In May 2023, Lighthouse Capital Group consented to an Acceptance, Waiver and Consent (AWC) with FINRA, the Financial Industry Regulatory Authority, which censured the firm and ordered a penalty […]
Our firm is investigating potential investment fraud claims by customers of former UBS and Stifel Nicolaus Financial LLC financial advisor Robert Earle Turner Jr. in Waco, Texas. Mr. Turner was employed by UBS Financial Services Inc. from March 1996 through October 2021, then employed by Stifel Nicolaus & Co, Inc. […]
Our firm is investigating potential investment fraud claims by customers of former Laidlaw & Co. Ltd. (“Laidlaw”) financial advisor Todd Anthony Cirella in Woodbury, New York. In January 2013, Mr. Cirella agreed to an Acceptance, Waiver and Consent (AWC) with FINRA the Financial Industry Regulatory Authority, which suspended him from […]
In December 2022, Insight Securities Inc. (“Insight Securities”) in Highland Park, Illinois, agreed to a censure and fine of $25,000 in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. This disciplinary action was the result of FINRA’s allegations that Insight Securities, from March 2017 and June 2020, failed […]
Our firm is investigating potential investment fraud claims by customers of former Laidlaw & Co. Ltd. (“Laidlaw”) financial advisor Edward Scott Short in Melville, New York. Mr. Scott’s registration with Laidlaw terminated in October 2022. In January 2013, Mr. Short agreed to an Acceptance, Waiver and Consent (AWC) with FINRA […]
Our firm is investigating potential investment fraud claims by customers of former LPL Financial LLC financial advisor John Nicholas Matson in Manhattan Beach, California. In December 2022, Mr. Matson was barred from the Securities Industry by FINRA, the Financial Industry Regulatory Authority, for refusing to cooperate with their regulatory investigation. […]
Our firm is investigating potential investment fraud claims by customers of former Morgan Stanley financial advisor Darryl Cohen of Westlake Village, California. In March 2023, Mr. Cohen was arrested and charged with three counts of fraud for allegedly defrauding multiple current and former NBA players, including Jrue Holiday, Chandler Parsons […]
Zamansky is investigating potential investment fraud claims related to the $17 billion write-down of Credit Suisse Group AG’s (Credit Suisse) contingent convertible (CoCo) bonds, also known as Additional Tier 1 (AT1) bonds. These bonds were sold directly to some U.S. investors, while others may have exposure through preferred or other […]
Our law firm is investigating potential claims for investment fraud by investors who were sold stocks, bonds or structured notes issued by Credit Suisse Group AG (CS). If your financial advisor or stockbroker sold you a stock, bond or structured note issued by Credit Suisse Group AG (CS), you may […]
Our law firm is investigating potential claims for investment fraud by investors who were concentrated heavily into bank and financial stocks. In this rising interest rate environment, many financial advisors were steering their customers into bank and financial stocks. They claimed that banks and financial firms would reap higher profits […]