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Zamansky LLC Investigates Claims by Customers of Financial Advisor John A. Dougherty of LPL Financial LLC in Blue Bell, PA of Possible Investment Fraud

February 24, 2023 Active Cases & Investigations

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 […]

Zamansky LLC Investigates Centaurus Financial for Investment Fraud Over Sales By Its Lexington, SC Branch of Variable Interest Rate Structured Products

February 10, 2023 Active Cases & Investigations

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 […]

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

January 30, 2023 Active Cases & 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 Active Cases & 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 Active Cases & 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 Active Cases & 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 Active Cases & 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 Active Cases & 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 […]

Client Reviews

“Jake Zamasky and his colleagues represented me in a FINRA arbitration case against a large multinational bank and succeeded in obtaining an award for the full amount of my investment losses. I would highly recommend the Zamansky firm for their experience in securities litigation, their level of detailed research and case preparation, and their ability to effectively fight for what’s right.”

Richard R.

“Throughout my entire case, Jake Zamansky was incredibly responsive and spent time walking me through each step of the process. He is professional and worked with my challenging schedule, even meeting with me nights and on weekends. He knew exactly which turn to take when it came to my case and yet was respectful of any decisions I wanted to make resulting in a positive outcome.”

Donald A.

“Jake Zamansky and his firm represented me in a FINRA arbitration case to recover investment losses. Jake and his team were very professional and worked very hard preparing for trial and then reaching a substantial settlement of our case. I would highly recommend them.”

William E.

“Jake Zamansky represented me in a FINRA arbitration case which allowed me to recover a substantial portion of investment losses. He is truly an expert in this space and I would highly recommend him to those investors who may have been been a victim of investment fraud.”

Chris K.

“Jake and his team did a great job communicating with me throughout the process of my lawsuit. I would recommend him to anyone looking to sue UBS for unethical practices.”

Mike A.
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