Tag Archives: GMS Group LLC

Investors Sue The GMS Group For Negligence

Carmine Claudio Capone of Boca Raton Florida a stockbroker and supervisor currently registered with The GMS Group LLC is referenced in a customer initiated investment related arbitration claim where the customer sought $1,000,000.00 in damages founded on accusations that Capone failed to supervise a stockbroker who (1) made investment recommendations that failed to be suitable […]

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GMS Group Sued By Investors For Bad Investment Advice

Travis Alan Knadle of Boca Raton Florida a stockbroker currently employed by The GMS Group LLC is referenced in a customer initiated investment related arbitration claim which was settled to resolve allegations that investment recommendations made to the customer were not suitable in regard to the municipal and corporate debt transactions effected in the customer’s […]

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The GMS Group Accused Of Investment Fraud

Oscar Andres Rico of Boca Raton Florida a stockbroker formerly registered with The GMS Group LLC is the subject of a customer initiated investment related written complaint which settled for $60,000.00 on December 20, 2018 based upon accusations that Rico made false or misleading statements to the customer concerning Puerto Rico municipal debt investments that […]

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GMS Group Stockbroker Barred for Unsuitable and Unauthorized Trading

Jason L. Figueroa of Boca Raton, Florida, a stockbroker with GMS Group, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he had recommended and engaged in unsuitable trading in nontraditional ETFs in customer accounts, while exercising discretion without prior written authority […]

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