Articles Tagged with Stoltmann Law Offices

Do you or someone you know have claims against former Fifth Third broker Ankur Bhatia? If so, the attorneys at Stoltmann Law Offices may be able to help you. Stoltmann Law Offices is investigating Bhatia, who allegedly misrepresented material facts, executed unauthorized trades, and issued unauthorized credit cards. On another occasion, Mr. Bhatia recommended an unsuitable mutual fund investment, and misrepresented material facts related to a mutual fund product in September 2007. These are all against securities laws and internal firm rules. According to public, online records with the Financial Industry Regulatory Authority (FINRA), Ankur Bhatia was previously registered with Fifth Third Securities in Lake Forest, Illinois from April 2006 until February 2016. He has three customer disputes against him, two of which are currently pending. He is not currently registered within the industry as a broker.

Stoltmann Law Offices is interested in speaking to those investors who may have invested with Aileen Eppig, a former broker with International Assets Advisory in Orlando, Florida. Ms. Eppig was accused of recommending unsuitable investments, executing excessive trades, exercising unlawful discretion and negligently misrepresenting material facts. These are all against securities laws. On a separate occasion, she “accepted loans from a customer totaling $103,000 and failed to disclose a 2013 judgment for $704,843.70,” which are also against securities laws. For these, she was barred from the industry.

According to her online BrokerCheck report with the Financial Industry Regulatory Authority (FINRA), Ms. Eppig was registered Prudential Securities Inc. in New York, New York from April 1978 until January 1995, A.G. Edwards & Sons in Smithtown, New York from January 1995 until January 2008, Wells Fargo in Smithtown from January 2008 until May 2009, Stifel, Nicolaus & Company in Hauppauge, New York from May 2009 until October 2015 and International Assets Advisory in Orlando, Florida from March 2016 until May 2016. She has two customer disputes against her and has been permanently barred from the industry. Please call our securities law firm in Chicago at 312-332-4200 today for a no-cost, no-obligation consultation.

 

 

7658-300x183Do you own a Honda CR-V? Does the passenger cabin smell of gasoline? If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your options of suing Honda.

The Stoltmann Law Offices Commercial Litigation Group intends to file a class action alleging Honda violated federal and California law by not honoring the customers’ requests to fix the gas odor problem under the terms of the warranty they received with the sports utility vehicle when they purchased it.

Recent owner complaints posted online include:

16106056_1198150366920233_7840373584551380909_n-300x115Did you attend Ashford University? If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your options of suing the University. Recently, the Iowa Attorney General alleged that Ashford used unconscionable sales practices to recruit and enroll students. According to the settlement agreement, Ashford made false or misleading statements to prospective students to convince them to enroll, used unfair and high-pressure sales tactics to persuade students to enroll, and failed to disclose material facts to prospective students, among other things. Ashford also misrepresented to prospective students who wished to become teachers that an Ashford education degree would allow them to become classroom teachers, when, in fact, they may be subject to additional requirements, and unfairly imposed a Technology Services Fee on all students after six weeks of enrollment and then retained the fee regardless of how long the students were enrolled. Please call our law firm based in Chicago at 312-332-4200 today for a free consultation with one of our attorneys to discuss your options of suing Ashford for misleading information and the above transgressions. There is no obligation and we take cases on a contingency fee basis, so we don’t get paid unless you receive money.

 

Were you sold structured notes linked to the US Oil Fund by an LPL broker? Stoltmann Law Offices is investigating the sale of these notes and are interested in speaking to those individuals who may have lost money because of the sale of those notes. You may be able to recover those losses by bringing a claim against LPL in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. We help investors recover losses. The structured notes sold by LPL are not suitable for all investors. Firms such as LPL and their brokers can only recommend and sell those investments that are suitable for investors. Notes linked the US Oil Fund tend to be risky and illiquid investments. Since crude prices dropped to an all-time low in 2009, banks have sold a record amount of US structured notes that track an index of oil and gas companies. Because crude costs are still low, many of the stocks have not had the chance to rebound, causing investors to lose money. Production and exploration companies took advantage of low interest rates to fund growth with cheap debt, and falling oil prices put pressure on those companies to cut costs. Credit Suisse AG sold $79.5 million of notes linked to the oil and gas index at the end of December last year. 312-332-4200.

Did you lose money with Kevin Dunnigan of Investment Centers of America in Loveland, Colorado? If so, the attorneys of Stoltmann Law Offices would like to speak with you about your investment losses. Dunnigan’s firm, Investment Centers of America, may be responsible for financial losses because of the firm’s inability to supervise him. We may be able to help you bring an arbitration claim against Investment Centers of America in the FINRA arbitration forum on a contingency fee basis. Dunnigan was accused of providing false and misleading information, making unsuitable investment recommendations and failing to conduct due diligence. He was also accused of misrepresenting material facts related to a mutual fund investment and failed to disclose risks and commissions. All of these are against securities rules and regulations. Dunnigan was registered with Integrated Resources Equity Corp from May 1984 until November 1989 and Royal Alliance Associates in New York, New York from November 1989 until December 1990. He is currently registered with Investment Centers of America in Loveland, Colorado and has been since December 1986. He has six customer disputes against him.

Were you sold investments in Ampio Pharmaceuticals (AMPE) by your Aegis Capital Corp broker? If so, Stoltmann Law Offices would like to speak to you about your investments, as they could be risky and you may lose money. If you did lose money, please call 312-332-4200 to speak to an attorney. Our offices are based in Chicago, Illinois and we help investors recover their financial losses in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis so we only make money if you recover yours. Please call today as there is a statute of limitations associated with most of these cases. Aegis Capital was the joint booking running manager for AMPE in July 2012 when the company sold additional stock to the public. The stock did not perform well. Brokers who sell securities and stocks such as AMPE to clients are required to disclose all information about the company, as well as take into account a customer’s age, net worth, investment objectives and investment sophistication before recommending said investments. If the broker does not, his or her member firm may be liable for losses.

Did you lose money with Thomas Schober, formerly a registered broker with SII Investments Inc.? Stoltmann Law Offices is investigating Schober for allegedly recommending unsuitable variable annuity exchanges in the accounts of two senior customers, aged 84 and 83. One of the customers suffered from dementia and both had limited financial means. The Financial Industry Regulatory Authority (FINRA) found that Schober effected annuity exchanges to benefit himself and receive commissions. The exchanges he made caused the customers to pay surrender charges of $154,642 to sell their annuities and then to pay sales charges of $69,000 of which Schober received the full amount in commissions, and incurred new surrender periods. FINRA alleged that Schober did not disclose the amount of the surrender charges they would incur to sell their annuities and didn’t explain the sales charges associated with the purchase of new annuities. These are against securities rules and regulations.

Schober was registered with Marketing One Securities in Portland, Oregon from September 1994 until July 1998, Legacy Financial Services from July 1998 until August 1998, Legacy Financial Services in Freehold, New Jersey from August 1998 until June 2007 and SII Investments in Westborough, Massachusetts from June 2007 until January 2015. He has one customer dispute against him. He is not licensed within the industry and FINRA permanently barred him.

Did you or someone you know lose money with William Wesley Marshall, a broker with Ameriprise Financial? If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your options of bringing a claim against Ameriprise in the Financial Industry Regulatory Authority (FINRA) arbitration forum. We may be able to help you recover your investment losses you suffered with William Wesley Marshall. We take cases on a contingency fee basis for investors, so we only get paid if you recover money. Please call today. The call is free with no obligation.

Mr. Marshall was fined $10,000 and suspended for 15 months by FINRA. FINRA alleged that Mr. Marshall participated in the sale of $1.72 million of privately-issued stock without having provided prior written notice to his firm. He also allegedly engaged in and made an inaccurate assessment of his outside business activity, used a personal email account to communicate with customers, which, in turn, allowed him to avoid firm supervision, and distributed to investors sales literature which contained misleading, exaggerated and inadequate risk disclosures. These are all against securities rules and regulations.

Marshall was registered with May Financial Corporation in Dallas, Texas from October 1999 until December 2001 and Southwest Securities in Dallas from January 2002 until February 2011. He is currently registered with Ameriprise Financial in Plano, Texas and has been since January 2011. According to his online FINRA BrokerCheck report, he is currently suspended by FINRA.

Did you lose money with Robert Child of National Securities? If so, the securities attorneys at Stoltmann Law Offices are interested in speaking with you about your options of suing National Securities in the Financial Industry Regulatory Authority (FINRA) arbitration forum. We sue firms on a contingency fee basis so we only make money if you recover yours. National Securities has a duty to reasonably supervise Robert Child, and, if the firm does not, can be held liable for investment losses. Please call 312-332-4200 today. The call is free with no obligation.

Child is accused of making unsuitable investment recommendations, acting negligently, breaching fiduciary duty, and misrepresenting material facts, among other things. These are all against securities rules and regulations. Child was registered with JB Hanauer & Co., Smith Barney, Harris Upham & Co., EF Hutton & Co., Shearson Lehman Hutton, Prudential Securities, UBS Painewebber, and VFinance Investments. He is currently registered with National Securities Corp in Boca Raton, Florida and has been since November 2012. He has 13 customer complaints against him, three of which are currently pending.

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