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Articles Posted in Stockbroker Misconduct

Our attorneys are investigating former Morgan Stanley (CRD# 149777) broker Andrew Yocum (“Yocum”) for numerous investor claims of unsuitable and overconcentrated investments in oil- and gas- related investments.

Yocum (CRD# 4590723) has had a total of 35 disclosures on his FINRA BrokerCheck report, all of them reported within the last year and all but one pertaining to unsuitable and overconcentrated investments in oil- and gas-related securities.  The outlier is an employment termination by Morgan Stanley due to allegations of unauthorized trading.

Yocum operated out of the Morgan Stanley offices in The Villages, Florida, a planned, age-restricted community primarily populated by retired individuals.

Our attorneys are investigating claims against Las Cruces, New Mexico-based Wells Fargo Clearing Services, LLC (CRD# 19616) broker Jeffrey (Jeff) R. Wilson (CRD# 1161819) over allegations that Wilson unsuitably recommended Wells Fargo customers to invest in oil, gas and energy investments.

Las Cruces, New Mexico Broker Jeff Wilson

According to Wilson’s FINRA BrokerCheck report, Jeff Wilson has three (3) disclosures, all of which feature aggrieved investors recovering some of their investment losses.

Our attorneys are investigating Bloomfield Hills, Michigan Centaurus Financial, Inc. (CRD# 30833) broker David B. White (CRD# 1382131) over numerous complaints alleging unsuitable recommendations in oil and gas investments such as non-traded REITs, oil and gas programs and limited partnerships.

According to White’s FINRA BrokerCheck report, White has eleven (11) disclosures.  Five (5) of the disclosures have come within the last five (5) years.

White’s most recent disclosure is a FINRA arbitration filed in June 2016 alleging unsuitable recommendations and damages in the amount of $75,000.  This complaint is currently pending.

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