Tag Archives: Brookstone Securities Inc.

Brookstone Stockbroker Suspended By Regulator

October 16, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David William Locy, of Lakeland, Florida, a stockbroker formerly registered with Brookstone Securities, Inc., was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he did not provide FINRA with information concerning his compliance with obligations to pay compensatory damages to a customer pursuant […]

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Joseph Gunnar Sued For Misrepresentation

April 10, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Peter N. Girgis, of Staten Island, New York, a stockbroker formerly registered with Joseph Gunnar & Co., LLC, has been named in a customer initiated investment related arbitration claim on May 5, 2016, in which the customer requested $687,000.00 in damages based upon allegations that Girgis misappropriated funds from the customer, effected unauthorized and unsuitable […]

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Brookstone Securities Named In Customer Securities Arbitration

December 24, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Richard Lyndon Brown, of Massapequa, New York, a stockbroker formerly associated with Brookstone Securities, Inc., has been subject to a customer initiated investment related arbitration claim from September 22, 2015, in which a customer was awarded $72,135.95 in damages based upon allegations that Brown breached his contractual and fiduciary duties to the customer, abused the […]

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