INVESTOR ALERT: Complaints Filed Against J.J.B. Hilliard Brokers John Gordinier, Stephen Provost J.J.B. Hilliard, W.L. Lyons, LLC (CRD#: 453, Louisville, Kentucky) is both a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm and Securities Exchange Commission (“SEC”) regulated investment advisory. Notably, the firm made 65 disclosures on FINRA BrokerCheck. Apparently, 34 of those disclosures concern […]

Soreide Law Group recently filed a FINRA arbitration on behalf of their clients (Claimants) against: J.J.B. HILLIARD, W.L. LYONS, LLC (HILLIARD LYONS) The Claimants, a married and retired couple from Kentucky, both maintained their IRA accounts and one joint account with a HILLIARD LYONS registered representative. The Claimants were looking to maintain a conservative portfolio […]

Maxwell B. Smith, a financial advisor from New Jersey, was sentenced to seven years in prison for operating a $9 million Ponzi Scheme. Many clients lost their investments in Health Care Financial Partners. Smith sold investments as a fund that made loans to nursing homes. Smith began soliciting investors in the Ponzi Scheme as early […]