Failure to Execute

Archive | Failure to Execute

Oppenheimer Broker Fined For Failure To Execute

November 30, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Johnny Earl Burris of Scottsdale Arizona a stockbroker formerly registered with Oppenheimer Co. Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on a Hearing Officer’s Order Accepting Offer of Settlement containing findings that (1) Burris failed to follow customers’ instructions concerning the […]

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Citizens Securities Accused Of Failure To Execute

Zachary Stephen Reinhart of Bethel Park Pennsylvania a stockbroker formerly employed by Citizens Securities Inc. is referenced in a customer initiated investment related written complaint on September 15, 2017 in which the customer requested damages estimated to exceed $5,000.00 supported by accusations that the customer’s assets were not invested in an individual retirement account in […]

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UBS Aycock Fails To Get Off Warrants

November 23, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

David Eliot Aycock of Leawood Kansas a stockbroker currently employed by UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint which settled for $18,477.06 in damages on May 30, 2017 founded on accusations that Aycock failed to effected the sale of the customer’s warrants. Financial Industry Regulatory Authority (FINRA) […]

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Principal Securities Sued For Breach Of Fiduciary Duty

Scott Alan Kimmel of Fort Worth Texas a stockbroker currently employed by Principal Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer alleged that Kimmel breached a fiduciary duty owed to the customer in reference to an employer stock options plan investment allocation. Financial Industry Regulatory Authority (FINRA) […]

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Park Avenue Securities Accused Of Failure To Execute

October 22, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Mark Anthony Badami of Woodbury New York a stockbroker formerly registered with Park Avenue Securities LLC is referenced in a customer initiated investment related written complaint that was resolved on July 29, 2016 for $25,000.00 in damages supported by allegations that Badami failed to execute the customer’s instructions of liquidating a managed account and transferring […]

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J.P. Morgan Sued For Failure To Execute

October 04, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Anthony Robert Anzalone Senior of New York New York a stockbroker currently employed by J.P. Morgan Securities LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $47,000.00 in damages founded on allegations that between February 18, 2017 and January 22, 2018 Anzalone disregarded the customer’s instructions regarding […]

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Investor Accuses Fidelity Of Failure To Follow Instructions

September 28, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Donald Anthony Canade of Huntington Station New York a stockbroker currently employed by Fidelity Brokerage Services LLC is the subject of a customer initiated investment related written complaint on July 2, 2018 in which the customer requested $79,506.00 in damages founded on allegations that Canade caused the customer to incur unwarranted tax consequences resulting from […]

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VSR Financial Sued By Investors For Failure To Execute

Daniel Charles Stewart of Shawnee Kansas a stockbroker formerly employed by VSR Financial Services Inc. is the subject of a customer initiated investment related arbitration claim that was resolved for $18,750.00 in damages supported by accusations that Stewart failed to timely execute the customer’s investment related instructions which caused the customer to incur losses. Financial […]

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Wells Fargo Accused Of Ignoring Customer Orders

September 12, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Christopher Curran of Houston Texas a stockbroker currently registered with Wells Fargo Clearing Services LLC is the subject of a customer initiated investment related written complaint that was resolved on October 27, 2017 for $13,031.48 founded on accusations that Curran failed to follow the customer’s instructions by purchasing an equity that was supposed to have […]

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MSI Financial Sued By Investor For Failure To Execute

August 25, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Ronald Clemente Davis of Raleigh North Carolina a stockbroker formerly registered with MSI Financial Services Inc. is referenced in a customer initiated investment related arbitration claim which was settled to resolve allegations that Davis did not appropriately execute the customer’s instructions of liquidating an advisory account and variable annuity. Financial Industry Regulatory Authority (FINRA) Arbitration […]

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LPL Financial Blamed By Customer For Realizing Profits

August 17, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Steven Nelson Schrader of Livonia Michigan a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on June 6, 2018 where the customer requested $28,857.00 in damages founded on allegations that the customer’s instructions of transferring stock were not followed causing the customer to incur additional […]

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Wells Fargo Accused By Customer Of Ignoring Instructions

June 25, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Daniel John Bezik of Mentor Ohio a stockbroker currently registered with Wells Fargo Advisors Financial Network LLC is the subject of a customer initiated investment related written complaint on January 5, 2018 where the customer requested damages estimated to exceed $5,000.00 founded on accusations that between December 15, 2016 and January 5, 2018, Bezik neglected […]

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Wells Fargo Accused Of Failure To Liquidate Securities

May 31, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

David Michael Logsdon of Hailey Idaho a stockbroker formerly registered with Wells Fargo Advisors is referenced in a customer initiated investment related complaint on March 22, 2018 where the customer sought more than $5,000.00 in estimated damages based upon accusations that Logsdon failed to liquidate the customer’s stock holdings from the customer’s wrap account. Financial […]

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LPL Accused Of Failing To Follow Customer Instructions

May 31, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Andre Kapulenui Kaluna of Avondale Arizona a stockbroker currently registered with LPL Financial LLC is referenced in a customer initiated investment related written complaint on February 1, 2018 in which the customer requested $36,451.00 in damages supported by allegations that between April of 2017 and December of 2017, the customer’s instructions were not followed regarding […]

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Customer Accuses Merrill Lynch Of Failure To Execute

May 29, 2018  |   Posted by :   |   Failure to Execute, Stockbroker Fraud News   |   0 Comments

Robert John Kostigen of Burlington Massachusetts a stockbroker currently employed by Merrill Lynch Pierce Fenner Smith Inc. is the subject of a customer initiated investment related written complaint on March 8, 2018 where the customer requested more than $5,000.00 in damages based upon allegations that the customer’s mutual fund investment instructions failed to be followed […]

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