INVESTORS: G.A. Repple & Company broker Paul Wesley Witthauer was named in a customer dispute alleging concerning an investor’s purchase of L Bonds issued by GWG Holdings. Paul Wesley Witthauer (CRD: 1672263) is registered as a broker with G.A. Repple & Company, where he’s been employed since 2017. Witthauer was previously registered as a broker [...]
If you were hit with a significant tax burden as a result of Vanguard's sell-off of large amounts of assets in target-date retirement funds, you aren't alone. You may have options for holding Vanguard accountable and recovering damages. Get a Free Consultation Online Or, call us anytime at 844-689-5754 What We Know About Vanguard's [...]
INVESTORS: Former LPL Financial broker Bradley Allen Goodbred was named an SEC complaint alleging he stole over $1M from an elderly investment advisory client. Bradley Allen Goodbred (CRD: 3184210) was registered as a broker with LPL Financial from 2009 until 2021. Goodbred was previously registered as a broker with Banc One Securities from 1999 until [...]
INVESTORS: James Arthur McDonald, Jr. and his SEC-registered investment adviser firm, Hercules Investments, LLC, were charged by the SEC in connection with two fraudulent securities offerings. On September 21, 2022, the SEC announced charges against James Arthur McDonald, Jr. and his SEC-registered investment adviser firm, Hercules Investments, LLC in connection with two fraudulent securities offerings. [...]
INVESTORS: Former Fifth Third Securities broker David Sheldon Wells was named an SEC complaint alleging he misappropriated over $683,000 from three investment advisory clients. David Sheldon Wells (CRD: 6774493) was registered as a broker with Fifth Third Securities from 2019 until 2021. Wells was previously registered as a broker with Merrill Lynch from 2017 until [...]
INVESTORS: Secured Income Group and its owner, Max McDermott, were charged with $100 million offering fraud. On September 15, 2022, the SEC announced charges against Orange County, California-based Secured Income Group, Inc. ("SIG"), its 100% owner and president Max McDermott, and its investor relations representative Stacey Porter, who together raised approximately $100 million from hundreds [...]
INVESTORS: Merrill Lynch broker Patrick Cody was named in a customer dispute alleging unsuitable recommendations, mismanagement, excessive fees, and fraud. Patrick Cody (CRD: 5902144) is registered as a broker with Merrill Lynch, where he’s been employed since 2011. Cody has no other securities experience. Cody has one disclosure on his BrokerCheck report. May 2022 Customer [...]
INVESTORS: Lek Securities Corporation broker Charles Frederik Lek was named in a FINRA complaint alleging failure to comply with settlement and failure to supervise. Charles Frederik Lek (CRD: 4672129) is registered as a broker with Lek Securities Corporation, where he’s been employed since 2008. Lek was briefly registered as a broker with Peter R. Mack [...]
INVESTORS: Former Morgan Stanley broker Jimmy Yang Driggers was named in a customer dispute seeking $4M in damages. Jimmy Yang Driggers (CRD: 1359593) was registered as a broker with Morgan Stanley from 2009 until 2021. Driggers was previously registered as a broker with UBS Financial from 1996 until 2008. Driggers has four disclosures on his [...]
Investor recovery and securities fraud attorneys representing investors nationwide.
Speak With an Investor Rights Attorney – 1.844.689.5754
© 2012 - 2026 Sonn Law Group • Investor Intelligence • Securities Fraud • FINRA Arbitration • All Rights Reserved
