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Recent Investigations

The securities fraud attorneys at Colling Gilbert Wright & Carter are currently investigating former VSR Financial Services, Inc. Registered Representative (“VSR”) registered representative Paul C. Larsen (“Mr. Larsen”).

The securities fraud attorneys at Colling Gilbert Wright & Carter are currently investigating former VSR Financial Services, Inc. (“VSR”) registered representative Paul C. Larsen (“Mr. Larsen”), most recently from Naples, Florida.  According to FINRA BrokerCheck, Mr. Larsen has at least sixteen customer complaints (all recorded between 2011 and 2016) and was terminated by VSR in September 2010.  Many of […]

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The Securities Fraud Attorneys at Colling Gilbert Wright & Carter are currently investigating former Cetera Advisors LLC registered representative Christopher R. Hickman.

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 […]

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The Securities Fraud Attorneys at Colling Gilbert Wright & Carter are investigating former International Assests Advisory LLC registered representative Norman K. Ferra, Jr.

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 […]

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The Securities Fraud Attorneys at Colling Gilbert Wright and Carter are investigating former Raymond James and Associates, Inc. registered representative Paul M. Alexander

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 excercised […]

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The Securities Litigation Attorneys at Colling Gilbert Wright & Carter are Investigating Former Broker Norman R. Sicard, Jr.

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 […]

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The attorneys at Colling Gilbert Wright & Carter are Investigating Possible Claims Against Former Investors Capital Corp. Broker Don E. Ingram

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, […]

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Colling Gilbert Wright & Carter is Investigating and Pursuing FINRA Claims Against Lawson Financial Corporation

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) […]

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Investigation: Reynold “Ren” Frank Vaughan III, broker at Salomon Whitney LLC

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 […]

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Investigation: Shawn E. Burns, broker at Salomon Whitney LLC

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 […]

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INVESTIGATIONS – NON-TRADED REITS

Colling Gilbert Wright & Carter is Currently Investigating the Sale of Non-Traded REITs by LPL, VSR, Invest Financial Corp., Money Concepts Capital Corp. and other regional brokerage firms. Non-traded Real Estate Investment Trusts (REITS) were marketed as an alternative to traditional income generating investments, such as bonds and CD’s that have seen their returns decline […]

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