Negligence

Archive | Negligence

National Securities Corporation Negligence Complaints

July 03, 2017  |   Posted by :   |   Negligence, Stockbroker Fraud News   |   0 Comments

William Francis Gillis, of Seattle, Washington, a stockbroker formerly registered with National Securities Corporation, has been named in a customer initiated investment related written complaint, which settled on May 22, 2017, for $80,000.00 in damages based upon allegations that he breached his fiduciary duties to the customer and negligently handled the customer’s investment account. Financial […]

Read More »

Western International Securities Sued For Negligence

Jed Edward Turner, of Missoula, Montana, a stockbroker formerly registered with Western International Securities, Inc., has been named in a customer initiated investment related arbitration claim on August 10, 2016, in which the customer requested $181,668.00 in damages based upon allegations that Turner negligently handled the customer’s stock portfolio. Financial Industry Regulatory Authority (FINRA) Public […]

Read More »

Pacific West Securities Named In FINRA Securities Arbitration

January 26, 2017  |   Posted by :   |   FINRA Securities Arbitration, Negligence   |   0 Comments

Robert Alden Cannon, of Issaquah, Washington, a stockbroker formerly registered with Pacific West Securities, Inc., has been named in a customer initiated investment related arbitration claim on December 16, 2014, in which the customer requested $175,000.00 in damages based upon allegations that Cannon negligently handled the customer’s investment account, committed violations of FINRA Rule 2111 […]

Read More »