Lawrence William Waller II, of Atlanta, Georgia, a stockbroker registered with Stonex Securities Inc., formerly Stern Agee Financial Services, Inc. , is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $135,000.00 in damages based upon allegations that Waller breached his fiduciary duties…
Michael Joseph McNulty (also known as Mike McNulty), of Boca Raton, Florida, a stockbroker formerly registered with Raymond James Associates Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages based upon allegations of unsuitable investment advice by McNulty concerning equities transactions when McNulty was associated…
Joseph Don Malboeuf of Colchester Vermont a stockbroker currently registered with LPL Financial LLC is referenced in a customer initiated investment related complaint which was settled for $85,000.00 in damages on July 19, 2020 founded on accusations that the customer’s account was not properly allocated in mutual funds according to their instructions between October 1,…
Bradley Leo Renberg of West Des Moines Iowa a stockbroker registered with Ameriprise Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $380,000.00 in damages based upon accusations of speculative and unsuitable energy sector equities held in the customer’s account at Ameriprise Financial Services. Financial Industry…
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that registered representatives of Edward Jones including Bruce Stanley Jakiel, Derek Strubel, John Burton Enoch Cestia II, Leslie Greenman and Tahnee Allman have been terminated by the firm founded on Edward Jones’ allegations of their violative conduct while they were employed by the firm. Bruce Stanley Jakiel…
Sean Lewis Dobranich of Las Nevada a stockbroker currently employed by Waddell Reed is referenced in a customer initiated investment related written complaint on April 28, 2017 in which the customer requested $25,000.00 in damages founded on allegations that (1) Dobranich over-concentrated the customer’s managed account in inappropriate securities (2) Dobranich neglected to sell the…
Jerry Duane Holdsworth of Lincoln Nebraska a stockbroker currently registered with Wells Fargo Advisors Financial Network LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $40,000.00 in damages founded on accusations that (1) Holdsworth effected stock trades in the customer’s account that were not suitable for the customer and…
James Danielly Finley Jr. of Red Bank New Jersey a stockbroker currently registered with RBC Capital Markets LLC is referenced in a customer initiated investment related written complaint on April 4, 2018 in which the customer sought $50,000.00 in damages founded on accusations that Finley neglected to diversify the customer’s investment portfolio between February of…
Lauren Anne Ferrante, of Parma, Ohio, a stockbroker formerly registered with L&M Financial Services, is the subject of a customer initiated investment related written complaint on May 9, 2016, in which the customer requested $100,000.00 in damages based upon allegations that Ferrante effected unsuitable equity transactions in the customer’s account and failed to diversify the…
Abraham Heimann, of Alpharetta, Georgia, a stockbroker currently registered with Cetera Advisors LLC, has been named in a customer initiated investment related arbitration claim on April 20, 2017, in which the customer requested $30,000.00 in damages based upon allegations that Heimann did not diversify the customer’s equity portfolio adequately, negligently managed the customer’s investments, and…
Steven Roland Knuttila, of Perham, Minnesota, a stockbroker currently registered with Capital Financial Services, Inc., has been named in a customer initiated investment related arbitration claim on February 20, 2017, in which the customer requested $139,722.14 in damages based upon allegations that Knuttila made unsuitable investment recommendations to the customer concerning investments in real estate,…
Brent Spicuzza, of Chesterfield, Missouri, a stockbroker formerly registered with AXA Advisors, LLC, has been named in a customer initiated investment related written complaint on March 21, 2016, based upon allegations that Spicuzza made unsuitable investment recommendations to the customer concerning the purchase of energy sector mutual funds. Financial Industry Regulatory Authority (FINRA) Public Disclosure…
John Shaw Notman, of Stockton, California, a stockbroker currently registered with Berthel, Fisher & Company Financial Services, Inc., has been named in a customer initiated investment related arbitration claim on May 2, 2016, in which the customer requested $650,000.00 in damages based upon allegations that Notman made misrepresentations to the customers and effected unsuitable transactions…
Steven L. Stahler, of Baton Rouge, Louisiana, is subject to a pending customer dispute from July 20, 2015, in which the customer requested $793,101.00 in damages in connection with allegations against Stahler of failing to diversify the customer’s investments that had been recommended by Stahler to the customer. According to FINRA Public Disclosure, Stahler has…