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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • FINRA, SEC and State Regulatory Investigations
    • Employment Counsel
    • Wrongful Discharge
    • Expungement Claims
    • Promissory and Forgivable Notes
    • Firm Transitions
    • CFP Board Investigations
    • Partnership Disputes
    • Broker Protocol FAQs
    • Form U5 Claims
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Investor Notice: GWG L Bonds
    • Frequently Asked Questions About Investment Loss Matters
    • Financial Advisor Misconduct
    • Breach of Fiduciary and Other Duties
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

Former broker sentenced to prison for conspiring to defraud elderly investors

On Behalf of Lewitas Hyman PC | Jan 18, 2023 | Broker Misconduct

A former stockbroker who was convicted of conspiring to defraud elderly investors has been sentenced to federal prison, InsuranceNewsNet reports. 69-year-old Lawrence Isen, who prosecutors said participated in a scheme to promote and manipulate the price of shares in...

FINRA bars former J.P. Morgan broker who was discharged over trading violations

On Behalf of Lewitas Hyman PC | Dec 1, 2022 | Broker Misconduct

The Financial Industry Regulatory Authority has barred a former broker for J.P. Morgan who was the subject of multiple client complaints against him, ThinkAdvisor reports. FINRA released details of the case involving 75-year-old Edward L. Turley in a letter of...

FINRA suspends former Merrill Lynch broker over outside business activities

On Behalf of Lewitas Hyman PC | Nov 25, 2022 | Broker Misconduct

The Financial Industry Regulatory Authority has suspended and fined a former broker for Merrill Lynch who was discharged from the firm over his outside business activities, AdvisorHub reports. FINRA announced the action against Christopher T. Eriksson, who was based...

Former broker charged with embezzling money from clients for his own use

On Behalf of Lewitas Hyman PC | Nov 3, 2022 | Broker Misconduct

A former Michigan broker has been charged with embezzling funds from his clients for investments and diverting it for his own use, reports ThinkAdvisor. 45-year-old Jaime Westenbarger, the founder of Forest Hills Financial, is facing seven criminal counts filed by...

Former Merrill Lynch broker fined, suspended by FINRA over unauthorized trades

On Behalf of Lewitas Hyman PC | Sep 2, 2022 | Broker Misconduct

A former Merrill Lynch broker accused of unauthorized trading in customer accounts has been sanctioned by the Financial Industry Regulatory Authority, according to AdvisorHub. Conrad K. Branson was fined $5,000 and suspended for 45 days over his actions that occurred...

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Recent Posts

  • SEC files charges against 2 NY representatives over unsuitable investments
  • Advisor Group firms ordered to pay restitution to clients over 529 plan rollovers
  • Wisconsin adviser charged with defrauding clients out of $1.9 million
  • FINRA releases report to assist firms with compliance and risk monitoring
  • Former broker barred by FINRA for false statements about outside CBD business

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