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Sandlapper Securities Expelled By FINRA For Fraud

Sandlapper Securities Expelled By FINRA For Fraud

Sandlapper Securities LLC as well as Trevor Lee Gordon (chief executive officer) and Jack Charles Bixler (vice-present) were handed down a Decision from Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council which affirmed an Extended Hearing...

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Santander Securities Sued By Investors For Fraud

Santander Securities Sued By Investors For Fraud

Lazaro Armando Fernandez Paredes of Dorchester Massachusetts a stockbroker formerly registered with Santander Securities is the subject of a customer initiated investment related arbitration claim which was resolved for $30,000.00 in damages based upon accusations...

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SEC Bars Morgan Stanley Stockbroker For Fraud

SEC Bars Morgan Stanley Stockbroker For Fraud

Michael Harvey Siva of Morristown New Jersey a stockbroker formerly registered with Morgan Stanley has been barred from being a stockbroker or an investment adviser representative or otherwise associating with any securities broker dealer or investment advisory...

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Investors Sue IAA For Breach Of Fiduciary Duty

Investors Sue IAA For Breach Of Fiduciary Duty

Brian Robert Roth of Chester New Jersey a stockbroker formerly employed by Brian Robert Roth has been identified in a customer initiated investment related arbitration claim which was resolved for $100,000.00 in damages founded on accusations that a fiduciary duty...

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Morgan Stanley Accused Of Unauthorized Trading

Morgan Stanley Accused Of Unauthorized Trading

Daniel Patrick Reilly of New York New York a stockbroker formerly employed by Morgan Stanley Smith Barney has been identified in a customer initiated investment related written complaint which was resolved on July 30, 2018 for $40,000.00 in damages founded on...

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Sandlapper Securities Expelled By FINRA For Fraud

Hornor Townsend Stockbroker Sanctioned For Selling Away

Micah Wesley Patterson (also known as Wes Patterson) of Layton Utah a stockbroker formerly registered with Hornor Townsend Kent LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity...

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