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Experienced Breach of Contract Attorneys Protecting Investors Guiding clients through the legal process after a breach of contract Signing a contract to officially begin a financial relationship with a brokerage or investment firm is more than mere formality. It endows the client with certain rights and the broker with certain responsibilities. When these rights are [...]
A Morgan Stanley subsidiary on Tuesday argued that a New York judge should dismiss a breach of contract suit brought by a trust over $110.8 million in losses suffered by investors in mortgage-backed securities. Morgan Stanley argued that a grant of the remedies sought by the investors would rewrite the underlying contracts . An attorney [...]
David Wayne Krumrey, a former stockbroker registered with Oppenheimer Co. Inc. and based in The Woodlands, Texas, is facing multiple customer-initiated investment-related arbitration claims, with investors seeking significant damages. One such claim, filed on April 1, 2020, alleges that Krumrey breached fiduciary duty in equity transactions conducted in the customer's account between January 1, 2016, [...]
Investors Face potential losses based on the actions of securities broker David Wayne Krumrey (CRD#: 4121845, The Woodlands, Texas). Krumrey, who was associated with Oppenheimer from 2009 to 2017, has been involved in at least 6 investor disputes, leading to serious repercussions. FINRA (Financial Industry Regulatory Authority) has barred Krumrey from practicing as a securities [...]
The Frankowski Firm is investigating potential claims against former stockbroker Robert Edward “Bob” Wamhoff. Until 2019, Mr. Wamhoff worked for the firm of Calton & Associates, Inc. of Saint Charles, Missouri. Mr. Wamhoff previously was with VSR Financial Services, Inc. which is in the Saint Louis, Missouri area. Customer Complaints Against Bob Wamhoff According to [...]
Oppenheimer & Co., Inc. has been hit with a $36.7 million award against it, issued by a panel of arbitrators with the Financial Industry Regulatory Authority (“FINRA”). The arbitration arose from customer complaints that Oppenheimer’s broker John Woods sold them an alleged private equity fund investment which turned out to be a massive Ponzi scheme. [...]
SECURITIES & INVESTMENT FRAUD ATTORNEYS All Investors Have Rights – We Fight to Protect Yours FREE Case Evaluation FREE CASE EVALUATION The Frankowski Firm Provides Counsel To Injured Financial Investors Nationwide Investment & Securities Fraud Attorneys [...]
Michael Castillero has been named by the Securities and Exchange Commission in a stock fraud civil action alleging that Castillero and his partners offered pre-Initial Public Offering (IPO) of shares they did not own, pocketed undisclosed fees, and commingled investor funds, resulting in Ponzi scheme-like payments. According to the allegations, Castillero and his partners facilitated [...]
Xiangyu “Sean” Zhang has been indefinitely barred from association with any Financial Industry Regulatory Authority (“FINRA”) member in all capacities as of August 2019. Zhang was previously registered both as a broker and as an investment adviser. Zhang resigned from Merrill Lynch, Inc. in 2010 after facing allegations of unsuitable recommendations and placements of unauthorized [...]
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $4.6 million award against Interactive Brokers and Charles Schwab in a case brought by over two dozen customers who claimed breach of contract and unsuitable investment strategies by the firms. The customers claimed that Interactive Brokers and Charles Schwab engaged in a [...]
