Tag Archives: American Trust Investment Services

Investors File Arbitration Claim Against American Trust Investment Services

September 03, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities, Unit Investment Trusts (UITs)   |   Comments Off on Investors File Arbitration Claim Against American Trust Investment Services

David Richard Geake of Northbrook Illinois a stockbroker currently registered with American Trust Investment Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by accusations that Geake breached a fiduciary duty and placed the customer into securities that were not suitable for them […]

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Forest Securities Stockbroker Sanctioned For Selling Woodbridge Notes

June 24, 2020  |   Posted by :   |   Promissory Notes, Securities Fraud   |   Comments Off on Forest Securities Stockbroker Sanctioned For Selling Woodbridge Notes

Christopher Richard Wurtzinger of Chicago Illinois a stockbroker and supervisor formerly registered with Forest Securities has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that Wurtzinger failed to supervise outside business activities relating to the sale of Woodbridge Group of Companies promissory […]

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