Heather Peterson Weber of Tampa Florida a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related arbitration claim which was resolved for $92,500.00 in damages based upon accusations that (1) misrepresentations had been made to the customer concerning the terms or risk of options trades […]
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Archive | Options
Merrill Lynch Sued For Options Fraud
April 10, 2019 | Posted by : Nicholas J. Guiliano | FINRA Securities Arbitration, Options, Stockbroker Fraud News | 0 Comments
Investors Sue Oppenheimer For Options Losses
January 19, 2019 | Posted by : Nicholas J. Guiliano | FINRA Securities Arbitration, Options, Stockbroker Fraud News | 0 Comments
Kenneth A. Rubin of Danbury Connecticut a stockbroker formerly registered with Oppenheimer Co. Inc. is referenced in a customer initiated investment related arbitration claim which was resolved for $12,500.00 in damages founded on accusations that Rubin made unsuitable options recommendations to the customer. FINRA Arbitration No. 16-03278 (Apr. 19, 2017). Financial Industry Regulatory Authority (FINRA) […]
Read More »Investors Sue Morgan Stanley For Unsuitable Options Trading
January 06, 2019 | Posted by : Nicholas J. Guiliano | Options, Stockbroker Fraud News, Suitability | 0 Comments
Izhar Shefer of Aventura Florida a stockbroker formerly employed by Morgan Stanley is referenced in a customer initiated investment related arbitration claim in which the customer sought $700,000.00 in damages founded on accusations that Shefer engaged in unsuitable trading of options and equities in the customer’s managed account between 2011 and 2017. Financial Industry Regulatory […]
Read More »Morgan Stanley Sued By Investors For Shoddy Investments
October 22, 2018 | Posted by : Nicholas J. Guiliano | FINRA Securities Arbitration, Options, Stockbroker Fraud News | 0 Comments
Shawn David Olson of Scottsdale Arizona a stockbroker currently employed by Morgan Stanley is referenced in a customer initiated investment related arbitration claim where the customer sought $5,000,000.00 in damages founded on accusations that Olson executed options transactions in the customer’s account that were not suitable for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration […]
Read More »Investor Accuses Stifel Nicolaus Of Fraud
Kevin Patrick McKenna of Wausau Wisconsin a stockbroker formerly registered with Stifel Nicolaus is the subject of a customer initiated investment related complaint that settled for $13,466.26 in damages supported by accusations that McKenna misrepresented over-the-counter equities as conservative investments that provided a layer of protection to the customer through a put option. FINRA Public […]
Read More »Customer Sues Ameriprise For Account Mismanagement
James Richard Tuberosa of Sun City Center Florida a stockbroker employed by Ameriprise Financial Services Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $700,000.00 in damages based upon allegations that the customer’s assets had been mishandled wherein options and equities transactions had been inappropriately traded. Financial Industry […]
Read More »Customer Sues Allegis For Unsuitable Options Trading
Charles Elmer Sorensen II of North Logan Utah a stockbroker currently registered with Allegis Investment Services LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $121,672.00 in damages supported by allegations that (1) trades were executed in the customer’s discretionary account that were not suitable for the […]
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