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Securities Law Experience
Securities Investigations
- Stockbrokers
- Christopher Bass, former employer: Swiss Capital Harbor
- David McFadden, former employer: Securities America
- Dermot A. Graham, former employer: PFS Investments
- Eric Butler, former employer: Credit Suisse Group
- Harold. H. Jaschke, former employer: First Allied Securities
- Jeremy McGilvrey, former employer: Next Financial Group
- Julius Everett "Bud" Johnson, Virginia insurance agent
- Kapil Shashikant Shah, former employer: GunnAllen Financial
- Kelvin Koma, former employer: JP Morgan Chase
- Ken Lewis, former employer: Bank of America
- Kevin O'Brien, former employer: Robert W. Baird & Company
- Mark Islas, former employer: Woodbury Financial
- Mark Salyer, former employer: MetLife Securities
- Martin T. Wegener, former employer: New England Securities
- Mayra Jeanette Angulo, former employer: Woodbury Financial
- Oren Eugene Sullivan, former employer: New York Life
- Robyn Lynn O'Hara, former employer: WFG Investments
- Rhonda Breard, owner of: Breard & Associates and Wealth Management
- Ronald Dwayne James, former employer: TD Ameritrade
- Thomas J. O'Neill, former employer: Piper Jaffray
- Timothy Shively, former employer: Next Financial
- Walter Ray Reinhardt, Virginia insurance agent
- William J. Gray, former employer: AXA Advisors LLC
- William Harrison and Eddie Sawyers, former employer: Wachovia
- Investment Firms Under Investigation
- Charles Schwab
- Edward Jones
- GunnAllen Financial
- JPMorgan Chase
- Linsco Private Ledger (LPL Financial)
- Medical Capital Holdings
- Merrill Lynch
- Morgan Keegan
- Morgan Stanley
- Next Financial
- OppenheimerFunds
- Piper Jaffray & Company
- Provident Royalties
- Raymond James Financial
- Securities America
- Stifel Nicolaus
- UBS
- Wells Fargo, Wachovia
- Woodbury Financial Services
- Investment Products Under Investigation
- Auction-Rate Securities
- Collateralized Debt Obligations, CDOs
- Collateral Mortgage Obligations, CMOs
- Credit Default Swaps
- Credit Derivatives
- Exchange Traded Funds
- Interest-Rate Swaps
- Margin Calls
- Preferred Stock
- Principal Protected Notes
- Private Placement Offerings (Reg D Offerings)
- Promissory Notes and Investment Certificates
- REITs
- Reverse Convertibles
- Structured Investment Vehicles
- Structured Notes
- Tenancies-in-Common, TICs
- Variable Annuities
- Wrap Accounts
- Stockbrokers
Investment Losses
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