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Recent Investigations

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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RECENTLY FILED – MONEY CONCEPTS

Colling Gilbert Wright & Carter have recently filed a FINRA arbitration claim on behalf of an investorwho purchased alternative investments and a small cap gold exploration stock through Money Concepts Capital Corp. Our firm has recently filed a Financial Industry Regulatory Authority (FINRA)arbitration claim on behalf of an investor who purchased alternative investments and a […]

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INVESTIGATIONS – PUERTO RICO BOND FUNDS

Puerto Rico Closed-End Bond Funds: UBS is a financial services company that enjoys a strong presence in major markets throughout the world. Through the recommendations of its affiliate, UBS Financial Services Incorporated of Puerto Rico, this globally trusted company allegedly encouraged clients to take concentrated positions in closed-end Puerto Rican municipal bond funds. Now, thousands […]

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RECENTLY FILED – FIFTH THIRD UIT

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 […]

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RECENTLY FILED – VSR ALTERNATIVE INVESTMENTS

Colling Gilbert Wright & Carter have recently filed a FINRA arbitration claim on behalf of investors who purchased alternative investments through VSRFinancial Services. We have recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against VSR Financial Services (VSR), a large regional brokerage firm headquartered in Overland Park, Kansas.  VSR is a full-service securities […]

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INVESTIGATIONS – UBS WILLOW FUND

The Willow Fund was a hedge fund offered by Union Bank of Switzerland (UBS) to the bank’s brokerage customers. Recently, UBS announced that it was liquidating the Willow fund.  Colling Gilbert Wright & Carter is currently investigating the sales practices employed by UBS representatives when recommending and selling the Willow Fund. It is believed that […]

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