Tag Archives: Allegis Investment Services LLC

Allegis Stockbroker Sanctioned For Misrepresentation

August 15, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Allegis Stockbroker Sanctioned For Misrepresentation

Brandon Curt Stimpson of Logan Utah a stockbroker formerly registered with Allegis Investment Services LLC has been fined $125,000.00 and barred by Utah Securities Division from being a stockbroker in the state based on allegations of Stimpson omitting and misrepresenting investment information about index options and for committing fraud when he was associated with Allegis […]

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Allegis Sued By Investors For Breach Of Fiduciary Duty

Brandon Curt Stimpson of North Logan Utah a stockbroker associated with Allegis Investment Services LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $2,481,000.00 in damages supported by allegations of (1) breach of a fiduciary duty by Stimpson (2) unauthorized and unsupervised options trades in the customer’s […]

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FINRA Bars Allegis Stockbroker For Failure To Pay Arbitration Award

Heath Shayne Bowen of Idaho Falls Idaho stockbroker formerly associated with Allegis Investment Services has been suspended by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to comply with a customer initiated investment related arbitration award or settlement agreement or otherwise confirm […]

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Allegis Broker Fired For Violating Company Policy

August 13, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Todd Eugene Seeholzer of North Logan Utah a former Allegis Investment Services LLC registered representative has been discharged by the firm on December 13, 2017 founded on accusations that Seeholzer failed to abide by the firm’s policies and procedures. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Seeholzer has been identified in three customer […]

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Customer Sues Allegis For Unsuitable Options Trading

Charles Elmer Sorensen II of North Logan Utah a stockbroker currently registered with Allegis Investment Services LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $121,672.00 in damages supported by allegations that (1) trades were executed in the customer’s discretionary account that were not suitable for the […]

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Allegis Fires Stockbroker For Failing To Comply

Brandon Curt Stimpson of North Logan Utah is a stockbroker formerly registered with Allegis Investment Services, LLC and advisor with Allegis Investment Advisors LLC who was fired on December 13, 2017, supported by allegations that he failed to conform to Allegis Investment Services’ code of ethics as well as other firm policies. Financial Industry Regulatory […]

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Regulator Charges Allegis President With Fraud

December 15, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Heath Shayne Bowen of Idaho Falls, Idaho, president of Allegis Investment Services, LLC, has been charged by the Securities Commissioner for the State of Colorado in a Complaint alleging that investors have been defrauded by Bowen, and exposed to misrepresentations while their assets were under Bowen’s management, which led to customers incurring substantial investment losses. […]

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Allegis Investment Advisors Sued For Failure To Supervise

June 19, 2017  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Heath Shayne Bowen, of Idaho Falls, Idaho, a stockbroker currently registered with Allegis Investment Services, LLC, has been named in a customer initiated investment related arbitration claim on June 27, 2016, in which the customer requested $400,000.00 in damages based upon allegations that Bowen did not adequately supervise the customer’s investment portfolio, which resulted in […]

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