Recent Investigations / Cases

Representing Investors Nationwide

The securities fraud attorneys at Colling Gilbert Wright & Carter are currently investigating former Cetera Advisors, LLC ("Cetera") registered representative Christopher Robert Hickman ("Mr. Hickman"), most recently from Delray Beach, Florida.  According to FINRA BrokerCheck, Mr. Hickman has at least six customer complaints and was terminated by Cetera in July of 2015.  He was subsequently suspended by the Financial Industry Regulatory Authority ("FINRA") for allegedly "engaging in an... Read More

The securities fraud attorneys at Colling Gilbert Wright & Carter are currently investigating former International Assets Advisory, LLC ("IAA") registered representative Norman K. Farra, Jr. ("Mr. Farra"), most recently from Tampa, Florida.  According to FINRA BrokerCheck, Mr. Farra has at least three customer complaints and terminated by IAA in November 2016.  He was subsequently permanently barred by the securities industry for failing to cooperate with regulators investigating alleged... Read More

The securities fraud attorneys at Colling Gilbert Wright and Carter are investigating former Raymond James and Associates, Inc. registered representative Paul M. Alexander, most recently of  Palm Beach Gardens, Florida.  According to FINRA's Broker Check, Mr. Alexander has a at least five pending or settled customer complaints involving unauthorized trading and/or misrepresentation and unsuitability. Mr. Alexander was permited to resign from Raymond James in March 2015 after findings he ... Read More

The securities fraud attorneys at Colling Gilbert Wright and Carter are investigating former Broker Dealer Financial Services Corp. registered representative Norman R. Sicard, Jr. most recently of  Orlando, Florida.  According to FINRA's Broker Check, Mr. Sicard has a pending customer complaint seeking to recover in excess of one million dollars.   

Mr. Sicard has been employed in the securities industry since August 1992.  In the twenty-four plus years he has been employed as a... Read More

The securities litigation attorneys at Colling Gilbert Wright & Carter are currently investigating a possible Financial Industry Regulatory Authority (FINRA) arbitration claim against former Investors Capital Corp. (ICC) registered representative Donnie Eugene Ingram.  Mr. Ingram was employed with ICC from February 1997 to July 2016 and operates Ingram Financial Group in Winter Haven, Florida.

According to FINRA BrokerCheck Records, Mr. Ingram has at least seven disclosures... Read More

The securities arbitration attorneys at Colling Gilbert Wright and Carter currently represent clients of Lawson Financial Corporation who were sold municipal revenue bonds that are subject of a recent Financial Industry Regulatory Authority (FINRA) disciplinary proceeding.

In May 2016, FINRA filed disciplinary action (#2014043854401) against Lawson Financial Corporation (LFC) and its CEO and Chief Compliance Officer Robert Warren Lawson (CRD #501167) and Pamela Denise Lawson (CRD #... Read More

The securities litigation attorneys at Colling Gilbert Wright & Carter recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim on behalf of clients of former Morgan Stanley broker Andrew "Todd" Yocum.  Mr. Yocum was employed in The Villages office of Morgan Stanley since 2007 until he was terminated by the firm in October 2015. According to FINRA BrokerCheck Records, Mr. Yocum has since been permanently barred by FINRA from acting as a securities broker that... Read More

The law offices of Colling Gilbert Wright and Carter is investigating a potential FINRA arbitration claim against Salomon Whitney Broker Reynold "Ren" Frank Vaughan III. According to FINRA's Broker Check, Mr. Vaughn's record reflects multiple customer complaints alleging unauthorized trading, excess commissions, failure to follow instructions, suitability, misrepresentation, churning, and breach of fiduciary duty. His record also reflects a censor and bar from employment or association in... Read More

The law offices of Colling Gilbert Wright and Carter is investigating and in the process of filing a FINRA arbitration claim against Salomon Whitney Broker Shawn E. Burns. According to FINRA's Broker Check, Mr. Burns' record reflects multiple customer complaints alleging unauthorized trading, failure to follow instructions, suitability, misrepresentation, fraud, churning, and breach of fiduciary duty. His record also reflects at least one termination after a customer complaint alleged... Read More

Colling Gilbert Wright & Carter have recently filed a FINRA arbitration claim on behalf of an investor who purchased the First Trust Municipal Income Plus Closed-End Portfolio through Fifth Third Securities, Inc.

Our firm has recently filed a Financial Industry Regulatory Authority (FINRA)arbitration claim on behalf of an investor who purchased shares of the First Trust Municipal Income Plus Closed-End Portfolio unit investment trust (UIT) through Fifth Third Securities, Inc.The... Read More

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