Tag Archives: Investments

Wells Fargo Terminates Robert Meyers for Recommending Private Investments

The investment fraud attorneys at Gana Weinstein LLP have been investigating previously registered broker Robert Meyers (Meyers). According to the Financial Industry Regulation Authority (FINRA) BrokerCheck records, in October 2017, Meyers was terminated from Wells Fargo Clearing Services LLC (Wells … Continue reading

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Charles Stevens Subject to Multiple Customer Complaints Over Alternative Investments

Current D.H. Hill Securities, LLLP (D.H. Hill) broker Charles Stevens (Stevens) has been subject to four customer complaints and five tax liens.  According to a BrokerCheck report many of the complaints concern alternative investments and direct participation products (DPPs) such … Continue reading

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Stephen Williams Subject to Multiple Customer Disputes over REITs and Alternative Investments

The securities attorneys at Gana Weinstein LLP are investigating claims against Next Financial Group Inc. (Next Financial) broker Stephen Williams (Williams). According to BrokerCheck records, Williams has been subject to six customer complaints, one of which is still pending. The majority of … Continue reading

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Mergers, investments and demand expansion

Bourreau, Marc and Jullien, Bruno theorize about Mergers, investments and demand expansion. ABSTRACT: In this paper, we study the impact of a merger to monopoly on prices and investments. Two single-product firms compete in prices and coverage for a new… … Continue reading

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The SEC Orders PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. to Pay $12 Million to Harmed Clients

On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. The Advisors paid $12 million in … Continue reading

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