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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 […]
Our law firm is investigating claims by customers Financial Advisor John A. Dougherty (“Dougherty”) of LPL Financial LLC in Blue Bell, PA. Until 2021, Mr. Dougherty was previously employed by Wells Fargo Clearing Services LLC. On January 19, 2023, one of Mr. Dougherty’s customers filed an investment fraud lawsuit in […]
On February 6, 2023, the Securities and Exchange Commission (“SEC”) announced that it settled regulatory charges of potential investment fraud against Centaurus Financial, Inc. (“Centaurus”) over sales of Variable Interest Rate Structured Products (“VRSPs”) at its Lexington, South Carolina branch office. The settlement involved Centaurus branch manager Ricky A. Mantei […]
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 […]
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 […]
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 […]
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 […]