Search for: "Financial Industry Regulatory Authority"
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25 Feb 2020, 6:22 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Edward Rudiger (Rudiger), currently associated with Reid & Rudiger LLC (Reid & Rudiger), has been subject to at least six customer complaints and one lien or judgement matters during his career. [read post]
6 Dec 2018, 10:10 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Karl Foust (Foust), formerly associated with H.D. [read post]
17 Sep 2017, 7:10 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Paul Smith (Smith), in June 2017, was barred by FINRA for failing to provide documents and information concerning private securities transactions. [read post]
14 Jun 2021, 6:37 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Dwight Dykstra (Dykstra) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
21 Jan 2017, 11:04 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against brokers Neal Moon (Moon) and Natalie Fogiel Moon (Fogiel). [read post]
15 May 2020, 7:50 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Jaramillo has been terminated by his prior employer, Western International Securities, Inc. [read post]
3 Feb 2017, 6:32 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Mark Schklar (Schklar). [read post]
15 Sep 2021, 5:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bachinsky’s customer complaints alleges that Bachinsky recommended unsuitable investments in various investments. [read post]
12 Sep 2021, 7:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Howard’s customer complaints alleges that Howard recommended unsuitable investments in various investments including allegations involving unauthorized trading among other allegations of misconduct relating to the handling of their accounts. [read post]
28 Aug 2018, 6:43 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor John Krohn (Krohn), formerly associated with Principal Securities, Inc. [read post]
24 Dec 2018, 11:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over unapproved securities. [read post]
13 May 2020, 11:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Lewis has been terminated by his two prior employers concerning his outside business activities. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
30 Aug 2022, 10:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Lors’ customer complaints alleges that Lors recommended unsuitable investments in various investments including allegations involving private placement securities among other allegations of misconduct relating to the handling of their accounts. [read post]
2 Oct 2017, 6:44 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Minish “Joe” Hede (Hede), in April 2017, was terminated by his then employer Paulson Investment Company, LLC (Paulson Investment) subsequent to the initiation of customer arbitration claim alleging fraud, negligence and unjust enrichment and for failure to comply with internal investigation. [read post]
3 Dec 2018, 1:43 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Gary Pevey (Pevey), formerly associated with Mutual Securities, Inc. [read post]
13 Oct 2017, 5:42 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Patrick Hudson (Hudson), in June 2015, was terminated by his then employer RBC Capital Markets (RBC). [read post]
15 Mar 2015, 5:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that Melzer participated in four private securities transactions when four of his Wells Fargo Advisors, LLC (Wells Fargo) customers invested $2,000,000 in a company called Aquatic Synthesis Unlimited (Aquatic Synthesis) through investment contracts that were not approved by Wells Fargo. [read post]
3 Oct 2019, 6:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaint against Zehntner alleges breach of fiduciary duty. [read post]
9 Jan 2019, 7:26 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Christhian Palacios (Palacios) has been subject to two customer complaints and four tax liens during the course of his career. [read post]
