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gary menzer
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Gary Menzer, Esq. is a Founding Partner with The Securities Law Firm of Menzer & Hill, P.A. The Firm represents aggrieved investors that have sustained investment losses due to the negligence of their stock broker or financial advisor and the failure to supervise by their Broker-Dealer. The... More
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  • Jodie Linn Miller - Tri-Med Notes

    Jodie Linn Miller ("Miller") was recently suspended from the brokerage industry for 18 months and fined $53,225.00 for her involvement with the sale of Tri-Med Notes. Miller was previously registered with LPL financial and Valic.

    This year, the Florida Office of Financial Regulation filed a claim against Tri-Med along with several of its officers, alleging they were selling unregistered securities and operating a Ponzi scheme.

    Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the activities of their Brokers and therefore those individuals that sustained investment loses with Miller and/or Tri-Med Notes, may be able to recover those losses in a FINRA arbitration. Free case review and cases taken on a contingency-fee basis.

    Nov 21 4:25 PM | Link | Comment!
  • Ameriprise Broker - Joseph Kennon Jayne

    Former Ameriprise Broker Joseph Kennon Jayne ("Jayne") was permanently barred by FINRA from acting or otherwise associating with firms that sell securities to the public. Jayne recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC").

    Jayne allegedly signed or caused a customer's name to be signed on forms authorizing purchase of investments in non-traded real estate investment trusts (REITs) without the customer's knowledge.

    Allegedly from January 2009 through September 2012, Jayne signed or had the customer's name signed on 21 firm documents which authorized wire transfers of funds, the rollover of funds from other investment firms and the purchase of investments in non-traded REITs.

    If you invested with Joseph Kennon Jayne, you may be able to recover your losses through a FINRA arbitration. Free case review and cases accepted on a contingency-fee basis.

    Nov 20 4:20 PM | Link | Comment!
  • Dean Mustaphalli - Investment Losses

    Updated infromation for investors that sustained losses investing with Dean Mustaphalli.

    Mustaphalli may be barred by the securities industry for allegedly running a $6 million hedge fund.

    Mustaphalli was allegedly running a hedge fund without the knowledge of Sterne Agee, therefore, Mustaphalli was able to run the fund without any supervisory systems put in place to protect the unsuspecting public.

    Fortunately, for those investors that incurred losses investing with Mustaphalli, may be able to recover those losses through the FINRA arbitration process.

    Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of Mustaphalli.

    Investors that have sustained losses investing with Mustaphalli should call for a free case evaluation to learn what options they may have in pursuing claims against Sterne Agee and/or Mustaphalli

    Jul 18 3:07 PM | Link | Comment!
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