Nicholas Robert Hasselkus (also known as Nick Hasselkus), of Scottsdale, Arizona, a stockbroker registered with Morgan Stanley, was the subject of a customer initiated investment related complaint that was settled on January 27, 2023, for $14,624.43 in damages based upon allegations that Hasselkus did not follow the customer’s instructions regarding the transfer of their investment…
Donald Norman Rich, of Stamford, Connecticut, a stockbroker registered with Wells Fargo Advisors Financial Network LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Rich failed to follow the customer’s instructions when Rich was associated…
Donald Jeffrey Dever (also known as Jeff Dever), of West Palm Beach, Florida, a stockbroker registered with UBS Financial Services Inc., was the subject of a customer initiated investment related complaint that was settled on September 1, 2023, for $94,373.73 in damages based upon allegations that Dever failed to follow the customer’s instructions regarding the…
Gary William Holland, of Leominster, Massachusetts, a stockbroker registered with Cetera Advisor Networks LLC, is the subject of a customer initiated investment related complaint filed on September 5, 2023, in which the customer requested compensatory damages based upon allegations that Holland supposedly failed to follow instructions in connection with the sale of mutual funds when…
John H. Klaasen IV, of Hayden Lake, Idaho, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Incorporated, was the subject of a customer initiated investment related complaint filed on September 29, 2023. The customer requested compensatory damages based upon allegations that Klaasen supposedly failed to follow instructions regarding the purchase of certain securities from…
Todd Mathew Bruns, of Folsom, California, a stockbroker registered with Edward Jones, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $54,403.62 in damages based upon allegations that Bruns failed to follow the customer’s directives of liquidating funds and placing them in…
Oscar Lee Harrison II of Fremont, California, a stockbroker registered with LPL Financial LLC, was the subject of a customer initiated investment related complaint filed on April 22, 2021. In this complaint, the customer requested $100,000.00 in damages based upon allegations that Harrison “refused” to execute an order to purchase 1,000 shares of ERI stocks…
Marc Edmond Haggar, of Dallas, Texas, a stockbroker registered with UBS Financial Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $70,000.00 in damages based upon allegations that Haggar made misrepresentations of material fact and “failed to follow instructions” regarding certain investments which were…
Keith Flynn Tomer, of Doylestown, Pennsylvania, a stockbroker registered with Securian Financial Services, was the subject of a customer initiated investment related complaint that was settled on May 4, 2020, for $15,060.44 in damages based upon allegations that Tomer made unnecessary delays in liquidating an estate account which resulted in decreased value in the account…
Arthur Gilbert Faren of Fort Lauderdale, Florida, a stockbroker registered with SunTrust Investment Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $29,500.00 in damages based upon allegations that Faren did not follow the customer’s instructions regarding stop limit orders when Faren…
Colin Christy Kelty of Oak Brook, Illinois, a stockbroker registered with Cetera Investment Services LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $240,000.00 in damages based upon allegations that Kelty failed to execute or follow instructions regarding the liquidation of…
Daniel Schiffer Terry of Big Rapids, Michigan, a stockbroker registered with Edward Jones, was the subject of a customer initiated investment related complaint that was settled on April 28, 2023, for $8,612.70 in damages based upon allegations that Terry failed to follow instructions concerning the liquidation of securities during the time that Terry was associated…
Barry Lee Garapedian of Westlake Village, CA, a stockbroker registered with Morgan Stanley, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Garapedian caused the securities broker dealer to maintain false records or books. Letter of Acceptance, Waiver, and Consent No….
David Roger Hirons of San Diego, California, a stockbroker registered with Wedbush Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $65,000.00 in damages based upon allegations of trading execution errors during the time that Hirons was associated with Wedbush Securities Inc. Financial Industry Regulatory Authority…
Bradford Eric Bugher, of Wilmington, Delaware, a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested unspecified damages supported by accusations of Bugher’s failure to “follow instructions” relating to the customer’s common and stock transactions between November…
James Tracy Stines (also known as Tracy Stines), of Richmond, Virginia, a stockbroker formerly registered with BB&T Securities LLC, is the subject of a customer initiated investment related written complaint which was resolved for $75,000.00 on September 30, 2020, supported by allegations that the customer’s instructions of liquidating a mutual fund had not been followed…
Jeanpaul Charles Skovronck (also known as Jean Paul Skovronck and as JP Skovronck) of New York New York a stockbroker currently registered with Alexander Capital LP is referenced in a customer initiated investment related complaint in which the customer requested $25,000.00 in damages supported by allegations of Skovronck’s failure to execute the sale of over-the-counter…
Todd Douglas Micciche of Portland Oregon a stockbroker formerly registered with Cuna Brokerage Services Inc. is referenced in a customer initiated investment related written complaint on October 5, 2020 where the customer requested $20,000.00 in damages supported by allegations that Micciche failed to respond to the customer’s requests of liquidating a mutual fund account at…
Curtis Brian Wilson of Tulsa Oklahoma a stockbroker currently registered with Securities America Inc. and an investment adviser representative of Beam Asset Management LLC is referenced in a customer initiated investment related written complaint which was resolved for $25,000.00 in damages on October 19, 2020 based upon allegations that trades were not executed in a…
Shawn Elizabeth Parker of Schaumburg Illinois a stockbroker formerly employed by Ameriprise Financial Services LLC has been terminated by the securities broker dealer on June 8, 2020 supported by allegations of her violation of company policy. Parker has been identified in five customer initiated investment related disputes containing allegations of her misconduct while she was…
Cristiano Tempo Castellini of Beverly Hills California a stockbroker currently associated with Merrill Lynch Pierce Fenner Smith Incorporated has been referenced in a customer initiated investment related written complaint on April 16, 2020 in which the customer requested unspecified damages supported by allegations that the customer’s instructions had not been followed by the stockbroker between…
William Reilley Herf of Scottsdale Arizona a stockbroker currently associated with RBC Capital Markets LLC has been referenced in a customer initiated investment related written complaint on May 14, 2020 in which the customer requested $97,000.00 in damages supported by allegations that the customer’s investment instructions of liquidating an equity portfolio had not been followed…
Richard Sica of Ridgefield Connecticut a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related written complaint on March 30, 2020 in which the customer requested unspecified damages based upon allegations that the customer’s investment instructions were not followed by Sica in March of 2020…
Lawrence Marc Lowe (also known as Larry Lowe) of New York New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is the subject of a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages based upon accusations that the customer’s investment instructions had been disregarded by Lowe as…
Christopher Allan Swan of Marble Falls Texas a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related complaint on July 30, 2019 where the customer requested $16,571.62 in damages founded on allegations that the customer’s investment instructions failed to be followed as it pertained to…
Eugene Lee Webb (also known as Gene Webb) of Lake Oswego Oregon a stockbroker currently registered with Paulson Investment Company LLC is the subject of a customer initiated investment related written complaint which was settled for $47,597.23 on May 3, 2019 based upon accusations that the customer’s instructions of liquidating Biotricity penny stock positions had…
Stephen Carey Hamilton of New York New York a stockbroker currently employed by Laidlaw Company (UK) Ltd. is referenced in a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages founded on accusations that the customer’s instructions had been disregarded by Hamilton as it related to common or preferred stock and…
Robert Anthony Guidicipietro (also known as Robert A. Peters) of Holmdel New Jersey a stockbroker formerly registered with Aegis Capital Corp. is referenced in a customer initiated investment related written complaint which was resolved for $36,272.00 on September 6, 2018 founded on allegations that the customer’s stop loss order had been disregarded by Guidicipietro during…
William Howard Desser of Los Angeles California a stockbroker currently registered with J.P. Morgan Securities LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $1,300,000.00 in damages founded on accusations that (1) Desser effected unauthorized transfers of funds from the customer’s account (2) Desser utilized the customer’s assets impermissibly…
Kerry John Mangano of Irvine California a stockbroker formerly registered with Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related written complaint on July 8, 2016 where the customer sought damages estimated to exceed $5,000.00 founded on allegations that Mangano failed to execute the customer’s over-the-counter equities trades according to the…
Martin Kevin Walcoe of Syosset New York a stockbroker currently employed by David Lerner Associates Inc. is referenced in a customer initiated investment related written complaint on August 9, 2016 where the customer requested unspecified compensatory damages founded on accusations that unauthorized trades of equities and government-debt products had been executed in the customer’s account….
Lance Allen Lohr of Cincinnati Ohio a stockbroker currently employed by Merrill Lynch Pierce Fenner Smith Inc. is referenced in a customer initiated investment related arbitration claim which was resolved for $1,910,188.00 in damages supported by accusations of the failure to follow the customer’s instructions from December 2016 in regard to common and preferred stock…
Zachary Stephen Reinhart of Bethel Park Pennsylvania a stockbroker formerly employed by Citizens Securities Inc. is referenced in a customer initiated investment related written complaint on September 15, 2017 in which the customer requested damages estimated to exceed $5,000.00 supported by accusations that the customer’s assets were not invested in an individual retirement account in…
David Eliot Aycock of Leawood Kansas a stockbroker currently employed by UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint which settled for $18,477.06 in damages on May 30, 2017 founded on accusations that Aycock failed to effected the sale of the customer’s warrants. Financial Industry Regulatory Authority (FINRA)…
Scott Alan Kimmel of Fort Worth Texas a stockbroker currently employed by Principal Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer alleged that Kimmel breached a fiduciary duty owed to the customer in reference to an employer stock options plan investment allocation. Financial Industry Regulatory Authority (FINRA)…
Mark Anthony Badami of Woodbury New York a stockbroker formerly registered with Park Avenue Securities LLC is referenced in a customer initiated investment related written complaint that was resolved on July 29, 2016 for $25,000.00 in damages supported by allegations that Badami failed to execute the customer’s instructions of liquidating a managed account and transferring…
Anthony Robert Anzalone Senior of New York New York a stockbroker currently employed by J.P. Morgan Securities LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $47,000.00 in damages founded on allegations that between February 18, 2017 and January 22, 2018 Anzalone disregarded the customer’s instructions regarding…
Donald Anthony Canade of Huntington Station New York a stockbroker currently employed by Fidelity Brokerage Services LLC is the subject of a customer initiated investment related written complaint on July 2, 2018 in which the customer requested $79,506.00 in damages founded on allegations that Canade caused the customer to incur unwarranted tax consequences resulting from…
Daniel Charles Stewart of Shawnee Kansas a stockbroker formerly employed by VSR Financial Services Inc. is the subject of a customer initiated investment related arbitration claim that was resolved for $18,750.00 in damages supported by accusations that Stewart failed to timely execute the customer’s investment related instructions which caused the customer to incur losses. Financial…
Christopher Curran of Houston Texas a stockbroker currently registered with Wells Fargo Clearing Services LLC is the subject of a customer initiated investment related written complaint that was resolved on October 27, 2017 for $13,031.48 founded on accusations that Curran failed to follow the customer’s instructions by purchasing an equity that was supposed to have…
Ronald Clemente Davis of Raleigh North Carolina a stockbroker formerly registered with MSI Financial Services Inc. is referenced in a customer initiated investment related arbitration claim which was settled to resolve allegations that Davis did not appropriately execute the customer’s instructions of liquidating an advisory account and variable annuity. Financial Industry Regulatory Authority (FINRA) Arbitration…
Steven Nelson Schrader of Livonia Michigan a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on June 6, 2018 where the customer requested $28,857.00 in damages founded on allegations that the customer’s instructions of transferring stock were not followed causing the customer to incur additional…
Daniel John Bezik of Mentor Ohio a stockbroker currently registered with Wells Fargo Advisors Financial Network LLC is the subject of a customer initiated investment related written complaint on January 5, 2018 where the customer requested damages estimated to exceed $5,000.00 founded on accusations that between December 15, 2016 and January 5, 2018, Bezik neglected…
David Michael Logsdon of Hailey Idaho a stockbroker formerly registered with Wells Fargo Advisors is referenced in a customer initiated investment related complaint on March 22, 2018 where the customer sought more than $5,000.00 in estimated damages based upon accusations that Logsdon failed to liquidate the customer’s stock holdings from the customer’s wrap account. Financial…
Andre Kapulenui Kaluna of Avondale Arizona a stockbroker currently registered with LPL Financial LLC is referenced in a customer initiated investment related written complaint on February 1, 2018 in which the customer requested $36,451.00 in damages supported by allegations that between April of 2017 and December of 2017, the customer’s instructions were not followed regarding…
Robert John Kostigen of Burlington Massachusetts a stockbroker currently employed by Merrill Lynch Pierce Fenner Smith Inc. is the subject of a customer initiated investment related written complaint on March 8, 2018 where the customer requested more than $5,000.00 in damages based upon allegations that the customer’s mutual fund investment instructions failed to be followed…