Oil and Gas

How Investors Can Sue Former Questar Capital Corporation Financial Advisor Jerry Michna

Posted on Saturday, January 5th, 2019 at 10:03 am    

Have you been the victim of former Questar Capital Corporation financial advisor Jerry Michna (CRD# 2711435)? Michna has been registered with Cetera Advisor Networks LLC in Louisville, Ohio since August 2017. Previously, Michna was registered with Questar Capital Corporation in Louisville, Ohio from 2006 to August 2017. Michna has been the subject of two customer […]

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Former Wells Fargo Client Wins $360,000 FINRA Arbitration for Energy Sector Losses

Posted on Saturday, January 5th, 2019 at 8:51 am    

In October 2018, a former client of Wells Fargo Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $172,000, plus $68,800 in attorney’s fees and $100,000 in punitive damages, and $20,000 in costs for losses sustained from unsuitable investments in the high risk energy sector. The causes of action included violations […]

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Former Morgan Stanley Client Wins FINRA Arbitration for Energy Sector Losses with Financial Advisor Edward Lamson

Posted on Monday, November 19th, 2018 at 12:19 pm    

In October 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $34,537.20 for losses sustained from energy sector losses.. The investors were clients of financial advisor Edward Lamson (CRD# 301298). The panel recommended the expungement of this case from Lamson’s record. The causes of action included […]

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Former Wells Fargo Client Settles FINRA Arbitration for $40,000 for Energy Sector Losses

Posted on Monday, November 19th, 2018 at 11:57 am    

In October 2018, a former client of Wells Fargo Advisors Financial Network, LLC settled a FINRA arbitration for compensatory damages for $40,000 for losses sustained from investments in the high risk energy sector. The investors were clients of financial advisor Jerry Holdsworth (CRD# 3241043). The causes of action included negligence, breach of fiduciary duty, negligent […]

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Former UBS Financial Services Inc., Moloney Securities Co., Inc., Moloney Investment Advisory, LLC, and Moloney Securities Asset Management, LLC Client Wins FINRA Arbitration for $300,000 for Energy Sector Losses

Posted on Monday, November 19th, 2018 at 11:49 am    

In October 2018, a former client of UBS Financial Services Inc., Moloney Securities Co., Inc., Moloney Investment Advisory, LLC, and Moloney Securities Asset Management, LLC won an award in a FINRA arbitration for compensatory damages for losses sustained from over-concentrated investments in the energy sector. Moloney Securities Co., Inc. and Moloney Securities Asset Management, LLC […]

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Former Herbert J. Sims & Co. Inc. Financial Advisor Laurence Greene Investment Losses

Posted on Monday, November 12th, 2018 at 1:44 pm    

Have you suffered losses due to investment recommendations made by former Herbert J. Sims & Co. Inc. financial advisor Laurence Greene (CRD# 604082) regarding unsuitable oil and gas securities and Puerto Rico bond recommendations? Greene has been registered with Herbert J. Sims & Co. Inc. in Ellijay, Georgia from 2002 to January 2018. Greene is […]

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Former Morgan Stanley Client Wins FINRA Arbitration for $100,000 for Energy Sector Losses

Posted on Monday, November 12th, 2018 at 2:36 pm    

In September 2018, a former client of Morgan Stanley settled a FINRA arbitration for $100,000 for losses sustained from high risk oil and gas investment losses. The investors were clients of financial advisor Gregory Buchko (CRD# 1410091). The causes of action included negligence; breach of fiduciary duty; negligent supervision; breach of contract; and violation of […]

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Did You Suffer Linn Energy Losses with Former Stifel, Nicolaus & Company, Incorporated Financial Advisor Andrew Elsoffer?

Posted on Monday, November 12th, 2018 at 2:24 pm    

Former Stifel, Nicolaus & Company, Incorporated financial advisor Andrew Elsoffer (CRD# 2580009) is alleged to recommend unsuitable high risk energy investments. Elsoffer was registered with Stifel, Nicolaus & Company, Incorporated in Pepper Pike, Ohio from 2011 until November 2018. Previously, Elsoffer was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pepper Pike, Ohio […]

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Former Wells Fargo Client Wins FINRA Arbitration for $360,000 for Energy Sector Losses

Posted on Monday, November 12th, 2018 at 2:00 pm    

In October 2018, a former client of Wells Fargo Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $172,000, $100,000 in punitive damages as well as $68,800 in attorney fees and $20,000 in costs plus interest at the prevailing Florida statutory rate for losses sustained from investments in the high risk […]

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Former Merrill Lynch, Pierce, Fenner & Smith, Inc. and UBS Financial Services, Inc. Client Wins FINRA Arbitration for Energy Sector Losses

Posted on Monday, November 5th, 2018 at 9:47 pm    

In October 2018, a former client of Merrill Lynch, Pierce, Fenner & Smith, Inc. and UBS Financial Services, Inc. settled an award in a FINRA arbitration for compensatory damages and received $70,000 for losses sustained from investments in the high risk energy market. The investors were clients of financial advisor John Lahoud (CRD# 4254835). The […]

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