Michael Scott Barrows, of Irvine, California, a stockbroker registered with Accelerated Capital Group, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer was awarded $1,035,360.46 in compensatory damages because Barrows was held liable on the customer’s claims which included violation of federal securities…
Craig Lee Carson (also known as C. Chance Carson), of Colorado Springs, Colorado, a stockbroker registered with Intervest International Equities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $701,211.32 in damages based upon allegations that Carson breached his fiduciary duties,…
Glenn J. Romer, of Vero Beach, Florida, a stockbroker registered with Center Street Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Romer made unsuitable recommendations in GWG Class L Bonds during the…
Eugene Cebron Thompson IV (also known as Bron Thompson), of Dunn, North Carolina, a stockbroker registered with Capital Investment Group Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Thompson breached his fiduciary duties,…
Donna Maria Seymour (also known as Donna Maria Pastorik), of Winter Haven, Florida, a stockbroker registered with Centaurus Financial Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $150,000.00 in damages based upon allegations that Seymour made unsuitable recommendations and breached…
Marion Leopold Leonberger Jr. (also known as Sonny Leonberger), of Louisville, Kentucky, a stockbroker previously registered with American Equity Investment Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 in damages. The claim alleged that Leonberger made unsuitable recommendations in…
Alfred Sietze Vanderlaan (also known as Al Vanderlaan), of Watertown, South Dakota, a stockbroker registered with Westpark Capital Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages based upon allegations that Vanderlaan violated state securities…
Scott Jason Lee of Cold Spring, Minnesota, a stockbroker formerly registered with Moloney Securities Co. Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that Lee made unsuitable investment recommendations and was negligent in connection…
David Leslie Arlein of Boca Raton, Florida, a stockbroker registered with Cabot Lodge Securities LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Arlein was negligent, made misrepresentations of material facts, breached a contract, breached his fiduciary duty,…
Garrett Wayne Moretz of Mooresville, North Carolina, a stockbroker registered with LifeMark Securities Corp., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $35,000.00 in damages. The claim alleged breach of fiduciary duty, unsuitable investment recommendations, misrepresentation and omissions of material facts, negligence,…
Nancy Ellen Cole also known as Nancy Ellen Hall, of Sacramento, California, a stockbroker registered with Western International Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $72,000.00 in damages based upon allegations that Cole made misrepresentations of material fact in connection with the sale…
Brad Curtis Brooks of Plano, Texas, a stockbroker registered with Titan Securities, has been fined $15,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he made negligent misrepresentations and omissions to customers concerning private placements during the time that he was associated with Titan Securities….
Dana Matthew Hawkins, of Lexington, South Carolina, a stockbroker registered with Centaurus Financial Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $11,250.00 in damages based upon allegations that Hawkins breached his fiduciary duty and misrepresented material facts in connection with the sale of corporate bonds,…
John Kevin Egan of Glendora, California, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $60,000.00 in damages based upon allegations that Egan engaged in violations of federal securities laws, made unsuitable recommendations, and made misrepresentations and omissions of…
David Wayne Karin, of Westlake Village, California, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $1,220,000.00 in damages based upon allegations that Karin made misrepresentations of material fact and made unsuitable recommendations in GWG Class L corporate…
Yin Yvonne Zhong (also known as Yvonne Zhong), of Milpitas, California, a stockbroker registered with Ni Advisors, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $15,000.00 in damages based upon allegations that Zhong breached her fiduciary duties, was negligent, and made unsuitable recommendations in GWG Class…
John Gerard Forrester Jr., of Boca Raton, Florida, a stockbroker registered with Newbridge Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Forrester breached his fiduciary duties, committed fraud, was negligent, and breached contract in connection with…
Roy Alvin Williams Sr., of Stratford, Connecticut, a stockbroker associated with Center Street Securities Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $42,000.00 in damages based upon allegations that Williams made unsuitable recommendations of GWG L Bonds when Williams was…
Walter Ickert, of Ridgeland, South Carolina, a stockbroker associated with IFP Securities LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,001.00 in damages based upon allegations that Ickert failed to conduct adequate due diligence, misrepresented an investment’s safety, failed to…
Larry Richard Law, of Irvine, California, a stockbroker associated with JRL Capital Corporation, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $400,000.00 in damages based upon alleged unsuitable trading, misrepresentation and omission of material facts, negligence, and breach of fiduciary duty…
Timothy Joseph Scanlon of Scottsdale, Arizona, a stockbroker associated with Arque Capital Ltd., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $230,208.89 in damages based upon alleged breach of fiduciary duty, breach of contract, negligence, and violation of state and federal securities laws,…
Donald Trendley McKiernan of Antioch, Illinois, a stockbroker registered with Landolt Securities Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $45,000.00 in damages based upon allegations that McKiernan failed to supervise certain representatives’ GWG L Bond sales resulting in misappropriation when McKiernan…
Linda Jill Wimsatt (also known as Linda Jill Eblowitz) of Carlsbad, California, a stockbroker registered with Westpark Capital Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $30,000.00 in damages based upon allegations that Wimsatt failed to supervise certain representatives, breached…
Tammie Lyn Farrell (also known as Tammie Burk and Tammie Brown), of Franklin, North Carolina, a stockbroker registered with Capital Investment Group Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Farrell committed fraud,…
Suihock Goy of Milpitas, California, a stockbroker registered with Ni Advisors Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 to $500,000.00 in damages based upon allegations that Goy breached a contract and breached his fiduciary duties in connection with…
David Richard Geake, of Northbrook, Illinois, a stockbroker registered with Ausdal Financial Partners Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Geake engaged in private securities transactions. Letter of Acceptance, Waiver, and Consent No. 2021072679901 (July 10, 2023). In September 2018, Ausdal Financial Partners disclosed…
Joseph Martin Latour (also known as Joe Latour), of Springfield, Missouri, a stockbroker registered with Center Street Securities 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 Latour made unsuitable recommendations of direct investments when Latour was registered…
Kenneth James New of Merritt Island, Florida, a stockbroker registered with Center Street Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $393,000.00 in damages based upon allegations that New made unsuitable recommendations of alternative investments when New was registered with Center Street Securities…
Rene Javier Castro, of Chicago, Illinois, a stockbroker registered with Great Point Capital LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $175,000.00 in damages based upon allegations that Castro made unsuitable recommendations, was negligent, breached his fiduciary duties, breached a contract, and violated state securities…
Morgan Darby Hill of Knoxville, Tennessee, a stockbroker registered with Center Street Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $60,000.00 in damages based upon allegations that Hill made unsuitable investment recommendations of alternative investments. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-02835…
Mark Alan Cline of Wildwood, Florida, a stockbroker registered with National Securities Corporation, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Cline made unsuitable recommendations of real estate securities when Cline was associated with National Securities Corporation. Financial Industry…
John Thomas Holly Sr. (also known as Tom Holly), of Boca Raton, Florida, a stockbroker registered with National Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Holly made unsuitable recommendations of GWG private placements when Holly…
Alexander Strachan Hackley (also known as Lex Hackley), of Centennial, Colorado, a stockbroker registered with Lifemark Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Hackley breached his fiduciary duties to the customer, failed to supervise certain…
Jason Edward Seurer of Maple Plain, Minnesota, a stockbroker registered with Landolt Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $100,000.00 in damages based upon allegations that Seurer made unsuitable investment recommendations of GWG L-bonds when Seurer was associated with Landolt Securities Inc. Financial…
Jon Christopher Vinge, of Seattle, Washington, a stockbroker registered with Intervest International Equities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $183,000.00 in damages based upon allegations that Vinge breached his fiduciary duties, made unsuitable recommendations, made misrepresentations and omissions of material fact, and…
Scot Barringer of Los Angeles, California, a stockbroker registered with Westpark Capital Inc., was the subject of a customer initiated investment related complaint that was settled on September 15, 2022, for $50,000.00 in damages based upon allegations that Barringer made unsuitable recommendations of GWG L-bonds when Barringer was associated with Westpark Capital Inc. Financial Industry…
Christopher Warren Wright (also known as Chris Wright), of Prescott, Arizona, a stockbroker registered with Center Street Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $135,000.00 in damages based upon allegations that Wright made unsuitable recommendations of GWG L-bonds during the time that…
Shirley Ank Wong (also known as Kuan An Huang or Shirley Ankuan Huang), of Daly City, CA, a stockbroker registered with Ni Advisors, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Wong made misrepresentations of material fact, breached…
Anthony John Pitta of Melville, NY, a stockbroker registered with Capital Investment Group Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Pitta made unsuitable recommendations, breached his fiduciary duties, and made misrepresentations and omissions of material fact…
Travis John Wolfe of Downers Grove, IL, a stockbroker registered with Ausdal Financial Partners Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Wolfe made unsuitable recommendations, made misrepresentations of material fact, and failed to perform due diligence…
Jonathan Eric Ellefson (also known as Jon Ellefson) of Harker Heights, Texas, a stockbroker registered with Intervest International Equities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $373,000.00 in damages based upon allegations that Ellefson breached his fiduciary duties, effected…
Hillard Charles Rest of Newport Beach, California, a stockbroker registered with JRL Capital Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Rest breached his fiduciary duties, made misrepresentations and omissions of material fact, in violation…
Jason Nicholas Slezak of Antioch, Illinois, a stockbroker formerly registered with Landolt Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $25,000.00 in damages based upon allegations that Slezak failed to disclose risks in connection with the recommendation and sale of GWG L Bonds when…
Anthony Baker Liddle (also known as Tony B. Liddle) of Oshkosh, Wisconsin, a stockbroker formerly registered with Landolt Securities and Western International Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Liddle refused to comply with the regulator during an investigation into Liddle’s…