Stockbroker Fraud News

Archive | Stockbroker Fraud News

Meyers Associates Broker Charged With Excessive Trading

October 16, 2017  |   Posted by :   |   Churning, Stockbroker Fraud News   |   0 Comments

Craig Gary Langweiler, of Philadelphia, Pennsylvania, a stockbroker formerly registered with Windsor Street Capital, L.P. (formerly known as Meyers Associates, L.P.), was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Langweiler effected excessive and unsuitable trades in a customer’s account, and exercised discretion without authorization. Department of Enforcement […]

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Customer Sues Triad Advisors for Suitability

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News, Suitability   |   0 Comments

Christopher Thomas Tolmacs of Portage, Michigan, a stockbroker formerly registered with Triad Advisors, Inc., is the subject of a customer initiated investment related arbitration claim, which settled for $51,000.00 in damages based upon allegations that Tolmacs made unsuitable investment recommendations to the customer concerning business development corporations, exchange traded funds and fixed annuities. FINRA Arbitration Case […]

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Customer Sues Purshe Kaplan For Suitability

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Jason Scott Tinklenberg, of Sioux Falls, South Dakota, a registered representative currently associated with Purshe Kaplan Sterling Investments, is the subject of a customer initiated investment related arbitration claim, in which the customer requested $256,527.00 in damages founded on allegations that fixed annuities and whole life insurance contracts were inappropriately sold to the customer. Case […]

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Brookstone Stockbroker Suspended By Regulator

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

David William Locy, of Lakeland, Florida, a stockbroker formerly registered with Brookstone Securities, Inc., was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he did not provide FINRA with information concerning his compliance with obligations to pay compensatory damages to a customer pursuant […]

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FINRA Fines Ameriprise Broker For Unauthorized Trading

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Cheryle Anne Brady, of Hingham, Massachusetts, a stockbroker formerly registered with Ameriprise Financial Services, Inc., has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that she effected securities trades in Ameriprise customer investment accounts without authorization from customers. […]

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Western International Broker Barred For Obstruction

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Clement Lancelot Chichester, of Westlake Village, a stockbroker formerly registered with Western International Securities, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into accusations of his improper handling of a customer’s money. […]

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Regulator Suspends Leaders Group Broker For Misconduct

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Lawrence Michael Korseko, of Littleton, Colorado, a stockbroker formerly registered with The Leaders Group, Inc., has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon Koresko’s consent to FINRA’s findings that he failed to disclose customer complaints against him for committing […]

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Regulator Suspends Dalton Strategic Stockbroker

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Erick J. Arnett, of Spring Hill, Florida, a stockbroker formerly registered with Dalton Strategic Investment Services Inc., has been fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unapproved outside business activities. Department of Enforcement […]

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Regulator Fines Growth Capital For Failure To Supervise

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Growth Capital Services, Inc., a brokerage firm headquartered in San Francisco, California, has been censured and fined $35,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that, inter alia, Growth Capital Services failed to supervise private securities transactions effected by five of the firm’s stockbrokers. Letter of Acceptance, Waiver and Consent, No. […]

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Regulator Affirms Success Trade Securities Sanctions

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Success Trade Securities, Inc., a broker-dealer headquartered in District of Columbia, as well as its president and chief compliance officer, Fuad Ahmed, were subject of a Securities and Exchange Commission (SEC) Opinion holding that the firm and Ahmed committed fraud and effected unregistered securities offers and sales. In the Matter of the Application of Fuad […]

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Regulator Charges Sandlapper With Securities Fraud

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Sandlapper Securities, LLC, a broker-dealer located in Greenville, South Carolina, as well as its majority owner and founder, Trevor Lee Gordon, and vice president, Jack Charles Bixler, have been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that they defrauded the firm’s customers through its sales of saltwater disposal wells investments. Department […]

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FINRA Fines JP Morgan Stockbroker For Selling Away

October 16, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Ryan Nicholas Paugh, of Independence, Ohio, a stockbroker registered with J.P. Morgan Securities LLC, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on allegations against Paugh of selling away from J.P. Morgan. Letter of Acceptance, Waiver and Consent, No. 2015046604801 […]

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Morgan Stanley Stockbroker Barred In Investigation

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Barbara Jean Waters, of New York, New York, a stockbroker formerly registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by consenting to findings that she failed to testify in a FINRA investigation concerning allegations that she provided false accounting documents to her […]

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Sigma Financial Fires Stockbroker for Misconduct

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Louis Frederick Scherschel, of Sleepy Hollow, Illinois, a stockbroker formerly registered with Sigma Financial Corporation, was fired on September 11, 2015, supported by allegations that he failed to abide by the policies of Sigma Financial Corporation regarding correspondence. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Scherschel has been subject of a customer initiated […]

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PTI Securities Sanctioned For Unauthorized Transactions

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

PTI Securities & Futures L.P., of Chicago, Illinois, was subject of sanctions sought by the State of Illinois Secretary of State Securities Division, alleging that the firm’s chief compliance officer, Daniel John Haugh, effected an unauthorized transfer of a customer’s funds, causing the customer to sustain $90,000.00 in losses. Case No. 1500161 (Jan. 29, 2016). […]

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Insight Securities Settles Misrepresentation Claim

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Edward Alan Horwitz of Riverwoods, Illinois, a stockbroker and principal formerly registered with Insight Securities, Inc., is the subject of a customer initiated investment related arbitration claim, which settled for $150,000.00 on August 12, 2016, supported by allegations including breach of contract, unjust enrichment, misrepresentation, negligence and breach of fiduciary duty pertaining to stock and options […]

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Joseph Stone Stockbroker Sanctioned By Regulator

October 05, 2017  |   Posted by :   |   Excessive trading, Stockbroker Fraud News   |   0 Comments

David Gene Menashe of Mineola, New York, a stockbroker formerly registered with Joseph Stone Capital, L.L.C., is the subject of an Order issued by the State of Montana Commissioner of Securities & Insurance obligating $15,000.00 in restitution to a customer based on allegations that Menashe effected unauthorized trades in the customer’s account, and effected trades on […]

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Raymond James Sued For Fake Authorizations

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Gregory Perrone, of Hernando, Florida, a stockbroker currently registered with Raymond James Financial Services, Inc., is the subject of a customer initiated investment related written complaint on May 8, 2017, in which the customer sought $42,179.00 in damages supported by allegations that Perrone caused the customer to furnish account transfer forms that he knew contained […]

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Customer Sues Wells Fargo For Failure To Execute

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Patrick Claude Robert Guinet, of Irvine, California, a stockbroker formerly registered with Wells Fargo Clearing Services, is the subject of a customer initiated investment related arbitration claim, which settled on June 5, 2017, for $4,954.14 in damages supported by allegations that the customer’s wrap account fund reallocation instructions were not executed between January 1, 2017, […]

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JJP Hillard Sued For Fraud

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

J.J.B. Hillard, W.L. Lyons, LLC, an investment adviser firm and FINRA member brokerage firm, is subject of a customer initiated investment related arbitration claim, in which customers were awarded $450,000.00 in compensatory damages and $100,000.00 in punitive damages pertaining to allegations of negligent supervision, fraud, breach of contract, omissions and misrepresentations, breach of fiduciary duty, […]

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Pruco Securities Stockbroker Barred By Regulator

October 05, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Yilih Choong, of Newark, New Jersey, a stockbroker formerly registered with Pruco Securities, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA in an investigation into accusations that he communicated false information to his employer […]

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Investors Capital Corp Sued By Customer For Suitability

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

James A. Franklin, of Dallas, Texas, a stockbroker formerly registered with Investors Capital Corp., is the subject of a customer initiated investment related complaint on March 15, 2017, in which the customer requested $50,000.00 in damages founded upon accusations that in March of 2015, Franklin placed real estate security transactions in the customer’s account that […]

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Customer Sues First Dallas Securities For Suitability

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

Gary Mack Bradshaw, a stockbroker currently registered with First Dallas Securities Incorporated, is the subject of a customer initiated investment related arbitration claim, which settled on January 10, 2017 for $11,500.00 in damages founded upon accusations that Bradshaw placed unsuitable over-the-counter equities trades in the customer’s account. Arbitration Case No. 16-03036 (Jan. 10, 2017). Financial […]

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Ameriprise Financial Sued For Unauthorized Transactions

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

Ameriprise Financial Services, Inc., a Financial Industry Regulatory Authority (FINRA) member brokerage firm located in Minneapolis, Minnesota, was orderd by a FINRA Arbitration Panel to pay $418,000.00 in damages in connection with a customer initiated investment related arbitration claim founded upon accusations including breach of contract, omissions of facts and breach of fiduciary duty relating […]

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NPC Stockbroker Suspended For Outside Business Activities

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

Sharon Melinda Kwan, of Arcadia, California, a stockbroker formerly registered with National Planning Corporation, has been fined $15,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she engaged in outside business activities and established unapproved customer bank accounts. Letter […]

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BancWest Stockbroker Suspended For Unauthorized Trading

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

Corinne Renae Mittag, of Omaha, Nebraska, a stockbroker formerly registered with Bancwest Investment Services, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she effected unauthorized trades, falsely represented her trading activities to her firm, and led her firm’s records and […]

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Regulator Bars Ameritas Broker For Unauthorized Loan

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

Thomas Lawrence, of Chapel Hill, Tennessee, a stockbroker formerly registered with Ameritas Investment Corp., has been fined $5,000.00, required to provide $41,332.65 in restitution, and was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Offer Accepting Offer of Settlement containing findings that Lawrence entered into an […]

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Ziv Investment Company Fined For Failure To Supervise

October 03, 2017  |   Posted by :   |   Failure To Supervise, Stockbroker Fraud News   |   0 Comments

Ziv Investment Company, a broker-dealer headquartered in Chicago, Illinois, and Peter Gordon Ziv, president, chief compliance officer and principal of Ziv Investment Company, were fined $75,000.00 and $10,000.00, respectively, for failing to supervise, inter alia, transactions and discretionary trading by stockbrokers at Ziv Investment Company’s branch office. Letter of Acceptance, Waiver and Consent, No. 2014039231701 […]

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Regulator Charges Forefront Officer With Obstruction

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

Bradley Carl Reifler, of New York, New York, a founder of Forefront Capital Markets LLC, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to provide testimony to FINRA during an investigation into accusations of Reifler’s improper conduct and mishandling of money from investors. Department of Enforcement v. Bradley […]

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LPL Financial Stockbroker Suspended For Selling Away

October 03, 2017  |   Posted by :   |   Selling away, Stockbroker Fraud News   |   0 Comments

Kenneth Dominic Savino, of West Hartford, Connecticut, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from LPL Financial LLC. Letter of Acceptance, Waiver and Consent, No. 2015047946801 […]

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Capital Investment Group Sued For Fraud

September 22, 2017  |   Posted by :   |   Breach of Fiduciary Duty, Stockbroker Fraud News   |   0 Comments

Kelly Gene Richards, of Phoenix, Arizona, a stockbroker formerly registered with Capital Investment Group, Inc., has been named in a customer initiated investment related arbitration claim on June 27, 2016, in which customers collectively requested $650,000.00 in damages based upon allegations that Richards breached his fiduciary duties to the customers, negligently managed the customers’ investment […]

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Regulator Fines JP Morgan Broker For Unauthorized Trading

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Todd Jones of Seattle, Washington, a stockbroker formerly registered with J.P. Morgan Securities, LLC, has been fined $15,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he exercised discretion in customer accounts without their consent and falsified information regarding […]

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Customer Sues Janney Montgomery Scott For Suitability

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Christopher David Sinkula, of Stuart, Florida, a stockbroker currently registered with Janney Montgomery Scott LLC, has been named in a customer initiated investment related arbitration claim on July 11, 2017, in which the customer requested $100,000.00 in damages based upon allegations that Sinkula over-concentrated the customer’s funds in energy sector stocks, and effected unsuitable equity […]

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Customer Sues Cambridge Investment For Negligence

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Dale Edward Wright, of Henrico, Virginia, a stockbroker currently registered with Cambridge Investment Research, Inc., has been named in a customer initiated investment related arbitration claim on March 15, 2017, in which the customer requested $130,000.00 in damages based upon allegations that Wright breached his contractual duties to the customer, negligently handled the customer’s insurance […]

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KCD Financial Broker Fined For Unauthorized Loans

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Christopher Matthew Parr, of Overland, Kansas, a stockbroker formerly registered with KCD Financial, Inc., was subject of a Notice of Intent to Impose Administrative Sanctions by the State of Kansas, based upon allegations that Parr committed Kansas Uniform Securities Act violations by engaging in unauthorized loan transactions with customers away from his firm. Case No. […]

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National Securities Charged With Failure To Supervise

September 22, 2017  |   Posted by :   |   Failure To Supervise, Stockbroker Fraud News   |   0 Comments

Michael Ciro Colletti, of Melville, New York, a stockbroker formerly registered with National Securities Corporation, was named in a Financial Industry Regulatory Authority (FINRA) Complaint containing allegations that he did not supervise the firm’s cold caller representatives, who utilized scripts for speaking with customers that contained inappropriate and possible investment misrepresentations. Department of Enforcement v. […]

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Customer Sues Aegis Capital Corp For Negligence

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Rocco James Lavista, of Holmdel, New Jersey, a stockbroker formerly registered with Aegis Capital Corp., is the subject of a customer initiated investment related complaint on February 4, 2016, in which the customer sought $204,136.14 in damages based upon allegations that Lavista made misrepresentations to the customer, breached his fiduciary duties, and negligently handled the […]

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ProEquities Stockbroker Terminated For Forgery

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Brian Alan Hagen of The Woodlands, Texas, a stockbroker formerly registered with ProEquities, Inc., was terminated on August 12, 2016, based upon allegations that he affixed customer signatures to customer account documentation without procuring their consent. Since August 15, 2016, Hagen has been associated with D.H. Hill Securities, LLLP. Guiliano Law Firm Our practice is […]

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H Beck Sued By Customer For Suitability

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Charles Robert Eloff Jr., of Arlington, Texas, a stockbroker formerly registered with H. Beck, Inc., is the subject of a customer initiated investment related complaint on October 25, 2016, wherein the customer’s claim is based upon accusations that Eloff effected unsuitable direct investment program transactions in the customer’s account. Further, FINRA Public Disclosure reveals that […]

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Foresters Equity Services Sued For Suitability

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Edward Gino Rizzotto, of Ocala, Florida, a registered representative employed with Foresters Equity Services, Inc., is the subject of a customer initiated investment related complaint, which settled on July 13, 2015, for $26,377.00 in damages supported by accusations that Rizzotto effected mutual fund transactions in the customer’s account that were not suitable for the customer. […]

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Customer Sues Cetera Advisors For Failure To Supervise

September 22, 2017  |   Posted by :   |   Failure To Supervise, Stockbroker Fraud News   |   0 Comments

Bernard Andre Breton, of Denver, Colorado, a stockbroker formerly registered with Cetera Advisors LLC, is the subject of a customer initiated investment related arbitration claim filed on January 19, 2016, for $876,195.00 in damages based on allegations that Breton failed to supervise the equity trades effected another Cetera stockbroker Abraham Heimann. Breton was terminated by […]

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Customer Sues JW Cole Financial For Suitability

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Gary Kenneth Rasmussen, of Laguna Niguel, California, a stockbroker formerly registered with J.W. Cole Financial, Inc., is the subject of a customer initiated investment related arbitration claim, which settled on July 11, 2017, for $30,000.00 in damages founded on allegations of suitability pertaining to the customer’s equity portfolio. Financial Industry Regulatory Authority (FINRA) Public Disclosure […]

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Ameriprise Sued For Unauthorized Trading

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News, Unauthorized Trading   |   0 Comments

Jonathan Ben Mirer, of Henderson, Nevada, a stockbroker currently registered with Ameriprise Financial Services, Inc., is the subject of a customer initiated investment related complaint, which settled on February 7, 2017, for $20,000.00 in damages supported by allegations of unauthorized trading of foreign equities from 2009 to 2016. Financial Industry Regulatory Authority (FINRA) Public Disclosure […]

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Customer Sues Cadaret Grant For Suitability

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Lee Evan Rosenberg, of Jericho, New York, a stockbroker currently registered with Cadaret, Grant & Co., Inc., is the subject of an investment related arbitration claim filed by the customer on February 2, 2017, where the customer sought $250,000.00 in damages founded upon allegations of suitability in reference to the customer’s mutual fund and annuities […]

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Stifel Nicolaus Sued For Securities Fraud

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Andrew Bruce Elsoffer, of Pepper Pike, Ohio, a stockbroker currently registered with Stifel, Nicolaus & Company, Inc., is the subject of a customer initiated investment related arbitration claim, which settled on October 27, 2016, for $165,000.00 in damages supported by allegations of negligence, breach of contract, elder abuse, elder exploitation, breach of fiduciary duty, suitability, […]

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Morgan Stanley Sued For Failure To Supervise

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Richard Thomas Lucker, of Tuscon, Arizona, a stockbroker formerly registered with Morgan Stanley, has been identified in a customer initiated investment related arbitration claim on March 17, 2017, where the customer requested $14,447,501.00 in damages based on allegations that Lucker failed to supervise the customer’s investment account. Since March 3, 2014, he has been employed […]

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LPL Financial Sued For Suitability

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Joeann Mitchell Walker, of Brockton, Massachusetts, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint, which settled on November 15, 2016, for $175,000.00 in damages based upon allegations of unsuitability regarding variable annuities, and unauthorized trading concerning the purchases and sales of mutual funds and stocks […]

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Customer Sues UBS Financial For Suitability

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News, Structured Notes   |   0 Comments

Margaret Lech-Loubet, of Los Angeles, California, a stockbroker currently registered with UBS Financial Services Inc., is the subject of a customer initiated investment related complaint on May 22, 2017, in which the customer sought $145,000.00 in damages based on allegations of suitability and omissions of facts concerning risks and liquidity of the customer’s structured product […]

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SII Investments Stockbroker Charged With Fraud

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News, Stockbroker Theft   |   0 Comments

Scott Newsholme, of Farmingdale, New Jersey, a stockbroker formerly registered with SII Investments, Inc. who also worked as a tax preparer and investment adviser for MVP Financial LLC, was charged by the Securities and Exchange Commission (SEC) in a Complaint alleging that Newsholme, inter alia, misappropriated funds from investment advisory customers and made misrepresentations to […]

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Regulator Bars UBS Broker For Unauthorized Transactions

September 22, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Lorenzo C. Esteva of Miami , Florida, a stockbroker formerly registered with UBS Financial Services, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide FINRA with information and documentation in the course of FINRA’s investigation into allegations of […]

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American Capital Stockbroker Vultaggio Barred

September 22, 2017  |   Posted by :   |   Selling away, Stockbroker Fraud News   |   0 Comments

Anthony Vultaggio Jr., of East Meadow, New York, a stockbroker formerly registered with American Capital Partners, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he did not cooperate in an investigation into allegations that he engaged in outside business activities […]

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CoreCap Michigan Broker Charged With Stealing Million

September 18, 2017  |   Posted by :   |   Ponzi Scheme, Selling away, Stockbroker Fraud News   |   0 Comments

Ernest J. Romer of Sterling Heights, Michigan, whom until very recently was associated with CoreCap Investments,  located in South Field Michigan, was charged with embezzlement. According to the Complaint, Michigan Investigators believe Romer’s transactions were part of a larger “pattern of felonious financial maneuvers involving a field of investors, with as many as 20 additional […]

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Accelerated Capital Group Stockbroker Suspended

September 15, 2017  |   Posted by :   |   Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

Jeffrey Alan Smith, of Irvine, California, a stockbroker formerly registered with Accelerated Capital Group, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he utilized altered and pre-signed customer documents to effect investment transactions in customer […]

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WestPark Capital Sued For High Pressure Sales Tactics

September 15, 2017  |   Posted by :   |   Boilerroom, Stockbroker Fraud News   |   0 Comments

John Anthony Orlando, of Fort Lauderdale, Florida, a stockbroker currently registered with Westpark Capital, Inc., is the subject of a customer initiated investment related written complaint on March 28, 2017, where the customer sought $5,000.00 in damages based upon allegations that Orlando engaged in high pressure sales tactics regarding the liquidation of equity investments in […]

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Southern Trust Securities Enjoined For Fraud

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Robert Juan Escobio, of Miami, Florida, a stockbroker formerly registered with Southern Trust Securities, Inc., has been subject of a Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council Notice denying an application furnished by Southern Trust Securities, Inc. for Escobio to be associated with the firm based upon accusations that Escobio engaged in fraudulent sales […]

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LPL Financial LLC Stockbroker Fined For Selling Away

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

John Hoyt Williams Jr., of Ridgeland, Mississippi, a stockbroker formerly registered with LPL Financial LLC, has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his firm. Letter of Acceptance, Waiver and Consent, […]

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Alexander Capital Stockbroker Barred For Fraud

September 15, 2017  |   Posted by :   |   Boilerroom, Stockbroker Fraud News   |   0 Comments

Peyton Nelson Jackson, of New York, New York, a stockbroker formerly registered with Alexander Capital, L.P., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Hearing Officer’s Default Decision containing findings that Jackson made unsuitable investment recommendations and defrauded customers. Department of Enforcement v. Peyton […]

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HSBC Stockbroker Barred For Stealing From Blind

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News, Stockbroker Theft   |   0 Comments

Jaime R. Rodriguez, of Bronx, New York, a stockbroker formerly registered with HSBC Securities (USA) Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he stole $200,000.00 from a blind and elderly investor. Letter of Acceptance, Waiver and Consent, No. 2016051772601 […]

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Equity Services Representative Barred

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

John C. Edes, of East Greenwich, Rhode Island, a registered representative formerly registered with Equity Services, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into his business activities serving the basis of […]

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Regulator Bars Buckman Buckman Reid Stockbroker

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News, Unit Investment Trusts   |   0 Comments

Glenn Robert King, of Shrewsbury, New Jersey, a stockbroker formerly registered with Buckman, Buckman & Reid, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a National Adjudicatory Council Decision containing findings that King made unauthorized and excessive trades in a customer’s account. In the […]

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CFP Investments Fined For Failure To Supervise ETFs

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

CFD Investments, Inc., a broker-dealer headquartered in Kokomo, Indiana, has been censured and fined $30,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise non-traditional exchange traded fund transactions effected by the firm’s registered representatives in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2014039216501 (Sept. […]

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FSC Securities Corporation Sued For Suitability

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Jordan Stuart Berlin, of Bedford Corners, New York, a stockbroker formerly registered with FSC Securities Corporation, is the subject of a customer initiated investment related written complaint on August 16, 2016, in which the customer requested $5,000.00 in damages based upon allegations that Berlin made unsuitable investment recommendations to the customer concerning equity investments, and […]

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Customer Sues IMS Securities For Fraud

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

The Grosse Pointe Farms Michigan office of IMS Securities, is the subject of a customer initiated investment related arbitration claim on August 21, 2017, in which the customer requested $25,000.00 in damages based upon allegations of breach of fiduciary duty, misrepresentation, negligence, and failure to conduct adequate due diligence with respect to real estate investment […]

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JP Turner Sued By Customer For Fraud

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Christopher Charles Burtraw, of Lakewood, Colorado, a former stockbroker for JP Turner., is the subject of a customer initiated investment related arbitration claim on July 10, 2017, in which the customer sought $1,000,000.00 in damages based upon allegations that Burtraw effected unsuitable transactions in the customer’s account concerning business development companies and real estate investment […]

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Great American Broker Fined For Unauthorized Transactions

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

William Bryson Baum, of St. Louis, Missouri, a stockbroker currently registered with Great American Investors, Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized business communications with the firm’s customers and concealed his conduct […]

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WFG Investments Sued For Alternative Investments

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Gary Roland Rodgers, of Austin, Texas, a stockbroker formerly registered with WFG Investments, Inc., is the subject of a customer initiated investment related written complaint on June 15, 2017, in which the customer requested $99,000.00 in damages based upon allegations that Rodgers failed to apprise the customer about holding periods, liquidity, and other terms and […]

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Ameriprise Terminates Broker For Compliance Violations

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Eric Steven Korhut, of Johnstown, Pennsylvania, a stockbroker formerly registered with Ameriprise Financial Services, Inc., has been terminated on August 30, 2016, based upon allegations that he exercised discretion in customer accounts without the firm’s approval of the accounts as discretionary. The firm also alleged that Korhut failed to comply with the firm’s supervision policies […]

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Customer Sues UBS For Suitability

September 15, 2017  |   Posted by :   |   Stockbroker Fraud News, Structured Notes   |   0 Comments

James Brian Cain, of Beverly Hills, California, a stockbroker currently registered with UBS Financial Services, Inc., is the subject of a customer initiated investment related written complaint on May 22, 2017, in which the customer sought $145,000.00 in damages based upon accusations that Cain omitted information from the customer about the risks and liquidity pertaining […]

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Regulator Suspends Waddell Reed Stockbroker

September 14, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Thaddeus Peter McGaffey, of Bloomfield Hills, Michigan, a stockbroker formerly registered with Waddell & Reed, has been assessed a monetary penalty of $2,111.68 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Decision containing findings that McGaffey failed to notify FINRA about the status of his […]

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Citigroup Broker Terminated For Forging Documents

September 14, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Dwain Carroll, of Holbrook, New York, a stockbroker formerly registered with Citigroup Global Markets Inc., was terminated from employment on November 5, 2015, based upon allegations that he facilitated an unauthorized transaction involving a customer’s funds by signing a customer transfer form that the customer never authorized. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals […]

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Windsor Street Terminates Broker For Business Activities

September 14, 2017  |   Posted by :   |   Outside Business Activities, Stockbroker Fraud News   |   0 Comments

Shoug Mayson, of New York, New York, a stockbroker formerly registered with Windsor Street Capital, LP, was terminated on June 22, 2017, based upon allegations that he engaged in business activities with another broker-dealer during the time that he was registered with Windsor Street Capital, and furnished inaccurate customer account information to his firm. This […]

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Garden State Securities Sued For Churning

September 14, 2017  |   Posted by :   |   Stockbroker Fraud News, Suitability   |   0 Comments

Ronald G. Richer, of New York, New York, a stockbroker currently registered with Garden State Securities, Inc., is the subject of a customer initiated investment related arbitration claim on April 3, 2017, where the customer requested $50,775.00 in damages supported by allegations that from February 2015 to July 2015, Richer effected unsuitable stock transactions in […]

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Portfolio Advisors Charged With Securities Fraud

September 14, 2017  |   Posted by :   |   Private Placement Fraud, Stockbroker Fraud News   |   0 Comments

Kerri Lynn Wassermann, of New York, New York, president of FINRA registered broker-dealer, Portfolio Advisors Alliance, LLC, was charged by the Securities and Exchange Commission (SEC) in a Complaint alleging that as president of a placement agency, he furnished investors with documents that he knew were misrepresented in the solicitation of securities transactions. Securities and […]

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Wells Fargo Sued For Failure To Supervise

September 14, 2017  |   Posted by :   |   Closed End Funds, Stockbroker Fraud News   |   0 Comments

Kevin Foster Friedman, of Woodland Hills, California, a stockbroker formerly registered with Wells Fargo Clearing Services, is the subject of a customer initiated investment related arbitration claim, which settled for $1,100,000.00 in damages on May 2, 2017, based upon allegations of the failure to supervise a financial advisor who effected faulty closed-end fund transactions in […]

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Royal Alliance Stockbroker Suspended For Suitability

September 14, 2017  |   Posted by :   |   Inverse Leveraged ETF Funds, Stockbroker Fraud News, Suitability   |   0 Comments

Mark S. Perry, of Mt. Pleasant, South Carolina, a stockbroker formerly registered with Royal Alliance Associates, Inc., has been suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he made unsuitable investment recommendations to customers. Letter of Acceptance, Waiver and Consent, No. […]

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Investment Center Broker Alleged To Have Stolen Millions From Elderly

September 01, 2017  |   Posted by :   |   Ponzi Scheme, Stockbroker Fraud News, Stockbroker Theft   |   0 Comments

Leon Vaccarelli, a registered representative associated with The Investment Center, Inc. was charged by the United States Securities & Exchange Commission with violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5 and 21F-17(a). According to the Complaint, Vaccarelli, doing business as Lux […]

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Financial Advisor Uses Voodoo to Thwart SEC In Ponzi Scheme

September 01, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

  Earlier this week, federal prosecutors and the United States Securities & Exchange Commission filed two separate but related complaints against Dawn J. Bennett, a former registered representative of Western International Securities, Inc. alleging that she conducted a massive $20 million Ponzi scheme. When the FBI raided Bennett’s home, there were the accoutrements of excess, and […]

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Park Avenue Securities Broker Suspended For Mishandling Funds

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Todd Alan Shanholtzer, of Las Vegas, Nevada, a stockbroker formerly registered with Park Avenue Securities, LLC, has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his firm, misused customer funds, and entered […]

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Customer Sues Wunderlich Securities For Misrepresentation

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

William George Fisher Connell II, of Livonia, Michigan, a stockbroker formerly registered with Wunderlich Securities, Inc., is the subject of a customer initiated investment related arbitration claim on February 14, 2017, in which the customer requested $100,000.00 in damages supported by allegations that Connell made misrepresentations to the customer, negligently handled the customer’s investment account, […]

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Customer Sues Morgan Stanley For Suitability

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News, Suitability   |   0 Comments

Timothy John Platt, of Naperville, Illinois, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related complaint, which settled on October 26, 2016, for $112,500.00 in damages resting upon allegations that from June 2, 2011, and May 17, 2016, Platt effected mutual fund transactions in the customer’s account despite […]

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Morgan Stanley Stockbroker Caught Falsifying Forms

August 31, 2017  |   Posted by :   |   Forgery, Stockbroker Fraud News   |   0 Comments

Francisco Jose Faraco, of New York, New York, a stockbroker formerly registered with Morgan Stanley, was fired from employment on February 1, 2017, based upon allegations of his misconduct relating to customer account documentation that contained unauthorized alterations and signatures. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on September 8, 2016, a customer […]

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United Planners Customer Suitability Complaint

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Michael Jeffrey Rudd, of Norman, Oklahoma, a stockbroker formerly registered with United Planners’ Financial Services, is the subject of a customer initiated investment related written complaint, which settled on May 5, 2017, for $9,738.00 in damages, wherein the customer’s claim was supported by allegations that Rudd allocated the customer’s investment portfolio in exchange traded funds […]

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Regulator Suspends Spartan Capital Stockbroker

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Tory A. Duggins, of New York, New York, a stockbroker currently registered with Spartan Capital Securities, LLC, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to fulfill his financial obligations pertaining to a customer initiated investment related settlement agreement or award […]

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Customer Accused Merrill Lynch Stockbroker of Misconduct

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News, Suitability   |   0 Comments

Joshua J. Pratta, of Towson, Maryland, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is the subject of a customer initiated investment related written complaint on October 24, 2016, in which the customer requested $100,000.00 in damages based upon allegations that Pratta made misrepresentations and omissions, recommended unsuitable investments, and effected […]

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JP Turner Stockbroker Accused of Churning

August 31, 2017  |   Posted by :   |   Breach of Fiduciary Duty, Stockbroker Fraud News   |   0 Comments

Peter Sandler, of New York, New York, a stockbroker formerly registered with J.P. Turner & Company LLC, is the subject of a customer initiated investment related written complaint on April 6, 2015, in which the customer requested $309,795.93 in damages founded on allegations that Sandler breached his fiduciary duties to the customer, effected unsuitable transactions […]

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UBS Fires Stockbroker For Unauthorized Trading

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Todd Michael Ellentuck, of Florham Park, New Jersey, a stockbroker formerly registered with UBS Financial Services Inc., has been fired by his employer on October 19, 2016, based upon allegations that he generated excess payments via commissions and fees in securities transactions, effected trades that were not authorized, and failed to effect trades in a […]

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Customer Complaints Against Raymond James

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Adam Saul Frankfort, of New York, New York, a stockbroker currently registered with Raymond James & Associates, Inc., is the subject of a customer initiated investment related written complaint on May 31, 2017, in which the customer sought $1,000,000.00 in damages founded on allegations that from November 16, 2016, to May 5, 2017, Frankfort made […]

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Regulator Charges CSSC Brokerage Services With Fraud

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

CSSC Brokerage Services, a broker-dealer headquartered in Troy, Michigan, as well as Eric S. Smith, owner of CSSC Brokerage Services and owner of the firm’s parent company, have been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that the firm and Smith made misrepresentations to customers and ultimately defrauded […]

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Regulator Bars WFG Investments Stockbroker For Suitability

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News, Unauthorized Trading   |   0 Comments

Jay Dee Jordan, of Oklahoma City, Oklahoma, a stockbroker formerly registered with WFG Investments, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment recommendations to the customer, effected unauthorized transactions in the customer’s account, mismarked customer order […]

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Kildare Capital Stockbroker Fined In Fraudulent Scheme

August 31, 2017  |   Posted by :   |   Municipal Bond Fraud, Stockbroker Fraud News   |   0 Comments

William Norris Jordan, Jr., of Philadelphia, Pennsylvania, a stockbroker formerly registered with Kildare Capital, Inc., was subject of a $7,000.00 fine and one-year suspension from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Hearing Panel Decision containing findings that Jordan created a fraudulent trading scheme and made material […]

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Joseph Gunnar Broker Fined For Unauthorized Transactions

August 31, 2017  |   Posted by :   |   Stockbroker Fraud News, Unauthorized Trading   |   0 Comments

Keith Joseph Michelfelder, of New York, New York, a stockbroker formerly registered with Joseph Gunnar & Co. LLC, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in the firm’s customer accounts. Letter of Acceptance, […]

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City National Securities Failure To Supervise

August 31, 2017  |   Posted by :   |   Failure To Supervise, Stockbroker Fraud News   |   0 Comments

City National Securities, Inc., headquartered in Beverly Hills, California, has been censured and fined $250,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to properly supervise outside business activities and private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2014043089901 (Aug. 24, 2017). According to the AWC, […]

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AXA Advisors Stockbroker Barred In Investigation

August 31, 2017  |   Posted by :   |   Outside Business Activities, Stockbroker Fraud News   |   0 Comments

John P. Correnti, of Cleveland, Ohio, a stockbroker formerly registered with AXA Advisors, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into allegations that inter alia, Correnti engaged in outside business activities […]

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Regulator Suspends Raymond James Broker For Selling Away

August 31, 2017  |   Posted by :   |   Selling away, Stockbroker Fraud News   |   0 Comments

Fan Kam Yip, of Mercer Island, Washington, a stockbroker formerly registered with Raymond James Financial Services, Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his firm. Letter of Acceptance, Waiver […]

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American Portfolio Stockbroker Suspended For Suitability

August 26, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Ronald Benevento, of Holbrook, New York, a stockbroker formerly registered with American Portfolio Financial Services, Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unsuitable mutual fund switches in customer accounts, and mismarked customers trades as unsolicited. […]

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Customer Sues Securities America Advisors

August 26, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Barry Graham Armstrong, of Needham, Massachusetts, a stockbroker currently registered with Securities America, Inc., is the subject of a customer initiated investment related written complaint on June 13, 2017, in which the customer requested $51,146.20 in damages based upon allegations that the customer’s accounts were poorly managed. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals […]

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UBS Fires Stockbroker For Falsifying Customer Documents

August 26, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Lorenzo C. Esteva, of Miami, Florida, a stockbroker registered with UBS Financial Services, Inc., was terminated from employment on June 6, 2017, based upon allegations that he confessed to furnishing bogus account information to customers in the course of the firm’s investigation into his business activities. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that […]

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Customer Sues National Securities Corp For Suitability

August 26, 2017  |   Posted by :   |   Stockbroker Fraud News, Suitability   |   0 Comments

Mark Sam Kolta,of New York, New York, a stockbroker formerly registered with National Securities Corporation, is the subject of a customer initiated investment related written complaint on A pril 25, 2017, in which the customer requested compensatory damages based upon allegations that Kolta effected unsuitable transactions in the customer’s account and made misrepresentations to the […]

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Morgan Stanley Broker Terminated For Unauthorized Trades

August 26, 2017  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Simon Michael Joseph, of Alexandria, Virginia, a stockbroker registered with Morgan Stanley Wealth Management, was terminated from employment on August 2, 2016, based upon allegations that he effected discretionary trades in the accounts of customers, and mismarked trades as having been unsolicited. Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on September 8, […]

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Regulator Suspends Standard Credit Securities Broker

August 26, 2017  |   Posted by :   |   Outside Business Activities, Stockbroker Fraud News   |   0 Comments

Matthew Christopher Tucci, of New York, New York, a stockbroker formerly registered with Standard Credit Securities, Inc., has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he, inter alia, engaged in outside business activities and inaccurately […]

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