Uncategorized

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Investors Sue American Capital Partners For Unauthorized Transactions

Michael Montelli of Hauppauge New York a stockbroker currently registered with American Capital Partners LLC is referenced in a customer initiated investment related written complaint on April 11, 2017 in which the customer requested damages estimated to exceed $5,000.00 in damages founded on accusations that (1) margin was utilized without the customer’s permission (2) unauthorized […]

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Merrill Lynch Fires Stockbroker For Cause

April 08, 2018  |   Posted by :   |   Stockbroker Fraud News, Uncategorized   |   0 Comments

Woong Seong Hwang of New York New York is a stockbroker formerly registered with Merrill Lynch who has been fired on July 11, 2017 based upon allegations that Hwang failed to furnish information about a customer that was accurate during the period in which the customer’s account had been established with Merrill Lynch. Financial Industry […]

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BMO Broker Fired For Mishandling Customer Information

April 08, 2018  |   Posted by :   |   Stockbroker Fraud News, Uncategorized   |   0 Comments

Erin A. Daniels of Scottsdale Arizona is a stockbroker formerly registered with BMO Harris Financial Advisors, Inc. who was fired on March 1, 2018 founded on allegations that Daniels mishandled information from customers and conducted herself in a manner which was not consistent with industry rules or the firm’s policies and procedures. Financial Industry Regulatory […]

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PHX Financial Named In Customer Securities Arbitration

Francesco Anthony Scarso, of New York, New York, a stockbroker formerly registered with PHX Financial Services, Inc., has been subject to a customer initiated investment related arbitration claim from November 23, 2015, which settled for $12,500.00 in damages based upon allegations that Scarso had effected an options transaction in the customer’s investment account which had […]

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