Steven Wayne Vance of Newtown Pennsylvania a stockbroker currently registered with Boenning Scattergood Inc. is referenced in a customer initiated investment related complaint involving Vance’s activities that was settled on February 27, 2018 for $9,138.67 in damages based upon accusations that (1) the customer’s portfolio was allocated in unsuitable mutual fund investments given the customer’s […]
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Tag Archives: Boenning & Scattergood Inc.
Boenning Scattergood Pays Back Excessive Commissions
January 29, 2019 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Mutual Fund Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations | 0 Comments
Boenning Scattergood Censured For Failure To Supervise
September 09, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Boenning & Scattergood, Inc., headquartered in West Conshohocken, Pennsylvania, was fined $100,000.00 and censured for, inter alia, failing to adequately supervise private securities transactions as well as consolidates reports. Letter of Acceptance, Waiver and Consent, No. 2014038906401 (Aug. 24, 2016). According to the AWC, between April 25, 2011, and March 13, 2014, a registered representative […]
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