Nationwide (877) SEC-ATTY

Open/Close Menu Securities Arbitration & Investment Fraud Lawyers Securities Arbitration & Investment Fraud Lawyers
Skip to content
  • About The Firm
    • Nicholas J. Guiliano, Esquire
    • Seth M. Friedman, Esquire
    • Thomas E. Hynes, Esquire
    • Sara J. Saba. Esquire
    • Kate Sherlock Guiliano, Senior Paralegal
  • FINRA Securities Arbitration
    • The Legal Basis for Arbitration
    • The Securities Arbitration Process
    • Claim Arbitrability
    • Who Is A “Customer”
    • Member’s Business Activities
    • Arbitration Claim Eligibility
    • The Arbitrators
    • FINRA Discovery
    • Damages
  • Common Claims
    • Boiler-Room High Pressure Sales
    • Breach of Fiduciary Duty
    • Churning
    • Conflicts Of Interest
    • Cybertheft
    • Elder Financial Abuse
    • Excessive Markups And Fees
    • Excessive Trading
    • Failure to Conduct Due Diligence
    • Failure to Disclose Risk
    • Failure to Diversify
    • Failure to Execute
    • Failure to Supervise
    • Failure to Warn
    • False Statements and Omissions
    • Financial Suicide
    • Forgery – Document Alteration
    • Margin Account Fraud
    • Misappropriation of Customer Funds
    • Negligent Retirement Planning
    • Over-Concentration
    • Retail Bank Cross Selling
    • Retirement Planning Fraud
    • Selling Away
    • Stockbroker Negligence
    • Stockbroker Theft
    • Unauthorized Trading
    • Unsuitable Investment Recommendations
    • Wrongful Third Party Investment Referrals
  • Investment Products
    • Alternative Investments
    • Defective Bond Funds
    • Complex Derivative Products
    • FS Energy & Power Fund
    • GPB Automotive Portfolio, LP
    • GWG Class L Bonds
    • Hedge Funds
    • High Yield Bond Funds
    • Hospitality Investors Trust REIT
    • Inverse Leveraged ETF Funds
    • Municipal Bonds
    • Mutual Fund Fraud
    • Noble Royalty Access Funds
    • Non-Traded Real Estate Investment Trusts (REITs)
    • NorthStar Healthcare Income Fund
    • Penny Stocks – Low Priced Securities
    • Ponzi Schemes
    • Private Placements
    • Reverse Convertible Securities
    • Shopoff Commercial Growth & Income Fund
    • Structured Products
    • Ultra-Short Bond Funds
    • Variable Annuities
    • Variable Interest Rate Structured Products
  • Investor Resources
  • News
  • Contact Us

Category: Margin Account Fraud

Morgan Stanley

Morgan Stanley Pays Investors Money Allegedly Stolen By Jesus

Jesus Rodriguez of El Paso, Texas, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related complaint on February 18, 2022, in which the customer requested compensatory damages based upon allegations that Rodriguez made unsuitable transactions on credit with a legacy express credit line when Rodriguez was associated with…

CategoryInvestment and Regulatory News, Margin Account Fraud, Misappropriation of Funds
CategoryJesus Rodriguez, Morgan Stanley
Robinhood image

Sheriff Cracks Down On Robinhood For Stealing From The Poor and Unsophisticated

Robinhood Financial LLC a securities broker dealer headquartered in Menlo Park California has been censured and fined $57,000,000.00 by Financial Industry Regulatory Authority (FINRA) based in part on findings that Robinhood Financial provided customers with misleading and false information about their accounts, authorized margin use in the accounts of customers against their wishes, and failed…

CategoryFailure To Supervise, Investment and Regulatory News, Margin Account Fraud
CategoryRobinhood Financial LLC
stock exchange

David Noyes Stockbroker Accused Of Margin Fraud

Stuart L. Pearl of Indianapolis Indiana a stockbroker formerly registered with David A. Noyes Company is the subject of a customer initiated investment related written complaint on May 18, 2020 in which the customer requested $2,088,124.00 in damages based upon allegations of a margin trading account being created by the stockbroker without the customer’s knowledge…

CategoryMargin Account Fraud, Securities Arbitration Claims, Securities Fraud
CategoryDavid A. Noyes & Company, Stuart L. Pearl
newspaper

Investors Accuse Aegis Capital Corp Of Margin Fraud

Gregory Spencer O’Brien of New York New York a stockbroker formerly employed by Aegis Capital Corp has been identified in a customer initiated investment related complaint on April 12, 2019 where the customer sought $153,300.00 in damages founded on accusations that margin was inappropriately utilized to effect securities transactions for the customer’s Aegis Capital Corp…

CategoryChurning, Excessive Trading, Investment and Regulatory News, Margin Account Fraud, Securities Fraud, Unauthorized Trading
CategoryAegis Capital Corp, Gregory Spencer O’Brien
stock exchange

Investors Sue Woodstock Financial Group For Fraud

Dennis James Murphy of Red Bank New Jersey a stockbroker formerly employed by Woodstock Financial Group has been identified in a customer initiated investment related arbitration claim where the customer sought $21,982.00 in damages founded on accusations of the customer being defrauded on over-the-counter equities trades effected by Murphy when he was associated with Woodstock…

CategoryBoilerroom Sales, Excessive Trading, Margin Account Fraud, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations
CategoryDennis James Murphy, Woodstock Financial Group Inc.
First Standard Financial Logo

Investors Continue To Sue Defunct First Standard Boilerroom

Carl George Antaki of Melville New York a stockbroker formerly employed by First Standard Financial Company LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages founded on accusations of bad stock trades being executed in the customer’s account during the time that Antaki was employed…

CategoryBoilerroom Sales, Breach of Fiduciary Duty, FINRA Securities Arbitration, Margin Account Fraud, Securities Arbitration Claims
CategoryCarl George Antaki, First Standard Financial Company LLC, Network 1 Financial Securities Inc.
old woman concerned

Another First Standard Stockbroker Barred For Fraud

William Christian Gennity (also known as Billy Gennity) of Staten Island New York a stockbroker formerly registered with First Standard Financial Company LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that the stockbroker failed to comply with a FINRA Arbitration Award in which…

CategoryBoilerroom Sales, Churning, Excessive Markups, FINRA Securities Arbitration, Margin Account Fraud, Securities Arbitration Claims, Securities Fraud, Unauthorized Trading
CategoryFirst Standard Financial Company LLC, William Christian Gennity
J.P. Morgan logo

JP Morgan Sued By Investors For Over-Concentration

Rick Douglas Konecny of Chicago Illinois a stockbroker formerly associated with JP Morgan Securities LLC has been referenced in a customer initiated investment related arbitration claim which was resolved for $30,000.00 in damages supported by allegations of an overconcentration of the customer’s assets in high-risk investments which led the customer to experience losses. Financial Industry…

CategoryInvestment and Regulatory News, Margin Account Fraud, Overconcentration, Securities Arbitration Claims
CategoryJ.P. Morgan Securities LLC, Rick Douglas Konecny
two seniors holding hands and laughing

Legend Securities Sued By Investors For Fraud

Steven John Meyer of Staten Island New York a stockbroker formerly associated with Legend Securities Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer was awarded $110,622.95 in compensatory damages supported by Meyer and Legend Securities being found liable on the customer’s claims which included that (1) transactions…

CategoryBoilerroom Sales, Churning, Excessive Trading, Investment and Regulatory News, Margin Account Fraud, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations
CategoryLegend Securities Inc., Steven John Meyer
three card monty

Investors Sue Titus Rockefeller For Fraud

David Michael Levy of Wellington Florida a stockbroker formerly registered with Titus Rockefeller LLC (also known as TR Capital Group LLC) is the subject of a customer initiated investment related arbitration claim where the customer requested $1,554,000.00 in damages founded on accusations that (1) fiduciary duties were not complied with (2) the extension of margin…

CategoryBreach of Fiduciary Duty, Excessive Trading, Failure To Supervise, Investment and Regulatory News, Margin Account Fraud, Securities Arbitration Claims, Securities Fraud
CategoryDavid Michael Levy, Titus Rockefeller LLC
Sign of the Financial Industry Regulatory Authority

Legend Securities Stockbroker Barred In FINRA Investigation

Jason Harris Klabal of New York New York a stockbroker formerly employed by Legend Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Klabal neglected to cooperate with a FINRA inquiry which may have concerned customer disputes that were filed by customers…

CategoryChurning, Excessive Trading, Investment and Regulatory News, Margin Account Fraud
CategoryJason Harris Klabal, Legend Securities Inc.
Sign of the Financial Industry Regulatory Authority

FINRA Sanctions Axos Clearing For Margin Account Fraud

Axos Clearing LLC a securities brokerage firm headquartered in Omaha Nebraska has been censured and fined $250,000.00 by Financial Industry Regulatory Authority (FINRA) founded on findings that the firm failed to make disclosures to customers regarding margin interest charges which prevented customers from both ascertaining the terms and conditions relating to their margin accounts and…

CategoryInvestment and Regulatory News, Margin Account Fraud
CategoryAxos Clearing LLC
Wells Fargo sign

Investors accuse Wells Fargo Of Unauthorized Trading

Debra Logan (also known as Debbie Bloustine) of Oklahoma City Oklahoma a stockbroker currently employed by Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related written complaint on August 3, 2018 where the customer sought damages estimated to exceed $5,000.00 supported by accusations that between November 5, 2010 and July 16,…

CategoryInvestment and Regulatory News, Margin Account Fraud, Municipal Bond Fraud
CategoryDebra Logan
map of chery hill

Investors Sue Sigma Financial For Fraud

Richard Marvin Muhlberg of Cherry Hill New Jersey a stockbroker formerly employed by Sigma Financial Corporation and Sigma Planning Corporation is referenced in a customer initiated investment related arbitration claim where the customer was awarded $17,900.00 in compensatory damages based upon Muhlberg being found liable on the customer’s claims that (1) real estate investment trust…

CategoryInvestment and Regulatory News, Margin Account Fraud, Non-traded REITs, Securities Arbitration Claims, Unsuitable Investment Recommendations
CategoryRichard Muhlberg, Sigma Financial Corporation
hand grabbing money

Investors Sue Spartan Capital For Securities Fraud

John Dennis Lowry of New York New York the Chief Executive Officer and Managing Member of Spartan Capital Securities LLC is referenced in a customer initiated investment related arbitration claim in which customers were collectively awarded $330,000.00 based upon findings that Lowry and Spartan Capital Securities LLC (1) breached fiduciary duties to the customer (2)…

CategoryBoilerroom Sales, Churning, Excessive Trading, Failure To Supervise, Investment and Regulatory News, Margin Account Fraud, Overconcentration, Securities Arbitration Claims, Securities Fraud
CategoryJohn Dennis Lowry, Spartan Capital Securities LLC
Man holding man upside down to shake our cash

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…

CategoryFINRA Securities Arbitration, Investment and Regulatory News, Margin Account Fraud, Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations
CategoryAmerican Capital Partners LLC., Michael Montelli

SW Financial Sued By Investor For Churning

Joseph Lianzo of Melville New York a stockbroker currently registered with SW Financial is referenced in a customer initiated investment related arbitration claim where the customer requested $108,215.00 in damages supported by allegations that (1) contractual obligations to the customer were breached (2) unauthorized trades were executed in the customer’s account (3) the customer’s account…

CategoryBoilerroom Sales, Churning, Failure To Supervise, Investment and Regulatory News, Margin Account Fraud, Securities Arbitration Claims
CategoryJoseph Lianzo, Salomon Whitney Financial, SW Financial Services Inc
Man holding man upside down to shake our cash

Investors Sue Worden Capital For Typical Boilerroom Conduct

Richard Foerster Reynolds of Melville New York a stockbroker currently registered with Worden Capital Management LLC is referenced in a customer initiated investment related complaint which settled for $150,000.00 on May 10, 2018 supported by accusations that Reynolds (1) churned the customer’s account (2) charged the customer with excessive commissions (3) effected transactions in the…

CategoryBoilerroom Sales, Churning, Excessive Markups, Excessive Trading, Investment and Regulatory News, Margin Account Fraud
CategoryRichard Foerster Reynolds, Worden Capital Management LLC

Categories

  • Alternative Investments (295)
  • Boilerroom Sales (446)
  • Bond Fraud (211)
  • Breach of Fiduciary Duty (470)
  • Business Development Companies (53)
  • Churning (397)
  • Closed End Funds (9)
  • Customer Loans (194)
  • Defective Option Strategies (26)
  • Direct Participation Programs (105)
  • Elder Financial Abuse (148)
  • Excessive Markups (70)
  • Excessive Trading (376)
  • Exchange Traded Notes (12)
  • Failure to Conduct Due Diligence (74)
  • Failure to Disclose Risk/Warn (7)
  • Failure to Diversify (14)
  • Failure to Execute (35)
  • Failure To Supervise (858)
  • FINRA Securities Arbitration (1,342)
  • Forgery (203)
  • FS Energy & Power Fund (1)
  • GPB Automotive Portfolio (7)
  • GWG Holdings Class L Bonds (11)
  • Hedge Funds (42)
  • Inverse/Leveraged ETF Funds (116)
  • Investment and Regulatory News (6,469)
  • Margin Account Fraud (18)
  • Microcap and Penny Stock Fraud (37)
  • Misappropriation of Funds (556)
  • Municipal Bond Fraud (102)
  • Mutual Fund Fraud (160)
  • Native American Theft (2)
  • Non-traded REITs (373)
  • Overconcentration (119)
  • Ponzi Schemes (104)
  • Private Placement Fraud (192)
  • Promissory Notes (126)
  • Retirement Planning Fraud (13)
  • Reverse Convertible Securities (8)
  • Securities Arbitration Claims (1,847)
  • Securities Fraud (387)
  • Selling Away and Outside Activities (851)
  • Steepener Notes (3)
  • Stock manipulation (18)
  • Stockbroker Negligence (105)
  • Stockbroker Theft (534)
  • Structured Products (68)
  • Tenants in Common (TICs) (10)
  • Unauthorized Trading (823)
  • Unit Investment Trusts (UITs) (149)
  • Unregistered Securities (68)
  • Unsuitable Investment Recommendations (1,114)
  • Variable Annuites (485)
  • Variable Interest Rate Structured Products (2)
  • Wrongful Investment Referral (8)

 

Important Disclaimer 
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to:
[email protected]
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement.
See Important Disclaimer.

– ↑ BACK TO TOP –

Call Us Toll Free (Nationwide):

(877) SEC-ATTY

REQUEST A CONFIDENTIAL CONSULTATION  →

We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or a confidential evaluation of your claim. For more information, See Important Disclaimer.
Important Disclaimer

Philadelphia, Pennsylvania

1700 Market Street, Suite 1005
Philadelphia, Pennsylvania 19103

Direct: (215) 413-8223
E-mail: [email protected]

Get directions on the map →

Aventura, Florida

2750 NE 185th Street, Suite 302
Aventura, Florida 33180

Direct: (786) 490-2413
E-mail: [email protected]

Get directions on the map →

Los Angeles, California

1260 South Soto Street, Suite 7
Los Angeles, California 90023

Direct: (213) 255-3475
E-mail: contac[email protected]

Get directions on the map →

© 2023 Guiliano Law Group, P.C.

SITE MAP

                

