Tag Archives: Andrew Garrett Inc.

Andrew Garrett Sued For Breach Of Fiduciary Duty

June 24, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Andrew Garrett Sued For Breach Of Fiduciary Duty

John Joseph Conroy of New York New York a stockbroker formerly associated with Andrew Garrett Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $118,000.00 in damages supported by allegations of breach of fiduciary duty and breach of contract by the stockbroker in regard to the stock […]

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Investors Accuse Andrew Garrett Of Unauthorized Trading

Jordan David Cooper of New York New York a stockbroker currently registered with Andrew Garrett Inc. is the subject of a customer initiated investment related written complaint which was settled to resolve allegations that between November 1, 2018 and January 31, 2019, unauthorized over-the-counter equities trades were executed in the customer’s Andrew Garrett Inc. account […]

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Andrew Garrett Admits Overcharging Customers

July 12, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Andrew Garrett Inc. a FINRA broker-dealer located in New York New York has been fined $10,000.00 and censured by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that customers had been overcharged on equity transactions. Letter of Acceptance Waiver and Consent No. 2015043325601 (June 29, 2018). According to the AWC, between June 17, […]

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Customer Sues Andrew Garrett For Breach Of Contract

Craig S. Forster of Hawthorne New York a stockbroker formerly employed by Andrew Garrett Inc. is referenced in a customer initiated investment related arbitration claim which settled for $165,000.00 in damages founded on allegations including (1) breach of fiduciary duty (2) breach of contract and (3) suitability relating to stock trades executed in the customer’s […]

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Andrew Garrett Named In Customer Churning Claim

Wayne M. Raymond, of New York, New York, a former stockbroker with Andrew Garrett Inc., has been subject to a customer initiated investment related arbitration claim on February 12, 2015, which was settled for $8,600.00 in damages based upon the customer’s allegations that Raymond effected excessive and unauthorized trades in the customer’s investment account. FINRA […]

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