Tag Archives: Cantella & Co. Inc.

Cantella Accused By Investors Of Unsuitable Investment Recommendations

January 19, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Cantella Accused By Investors Of Unsuitable Investment Recommendations

David Thomas Pawloski of Red Bank New Jersey a stockbroker currently registered with Cantella Co. Inc. is the subject of a customer initiated investment related written complaint on April 9, 2020 in which the customer requested $16,000.00 in damages based upon allegations of the customer being sold poorly performing stocks by Pawloski during the period […]

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Investors Accuse Morgan Stanley Of Unsuitable Municipal Bond Transactions

David Hugh Bindelglass of Paramus New Jersey a stockbroker formerly employed by Morgan Stanley is the subject of a customer initiated investment related complaint which was resolved for $100,000.00 in damages on January 10, 2019 founded on accusations that unsuitable municipal debt trades had been effected in the customer’s account during the time that Bindelglass […]

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Cantella Stockbroker Barred In FINRA Investigation

Donald Edward Teboe of Clinton Michigan a stockbroker formerly employed by Cantella Co. Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Teboe refused to cooperate with FINRA personnel during a time that he was under investigation for effecting unsuitable trades in accounts […]

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Investors Accuse Cantella Stockbroker Of Unauthorized Trading

Ricardo Eduardo Harmsen of Pittsboro North Carolina a stockstockbroker currently registered with Cantella Co. Inc. is the subject of a customer initiated investment related complaint on February 11, 2019 in which the customer sought $200,000.00 in damages supported by allegations that a transfer of the customer’s assets had been effected without the customer’s permission while […]

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Cantella Broker Barred In FINRA Inquiry

Robert William Griffin of Poetry Texas a stockbroker formerly employed by Cantella Co. Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to provide FINRA with information that had been requested of him. FINRA Public Disclosure confirms that Griffin had been […]

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Morgan Stanley Fires Broker For Unauthorized Trading

April 08, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

David Hugh Bindelglass of Paramus New Jersey is a stockbroker formerly registered with Morgan Stanley who has been fired on December 20, 2017 founded on accusations that Bindelglass executed unauthorized transactions in customer accounts and made unsuitable investment recommendations to a customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bindelglass has been referenced […]

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Customer Brings Arbitratoin Against Raymond James For Fraud

Peter Chris Marketos, of Paramus, New Jersey, a stockbroker formerly registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related written complaint on March 2, 2017, in which the customer requested more than $5,000.00 in damages based upon allegations that Marketos, from October of 2014 to February of 2016, […]

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FINRA Securities Arbitration Filed Against Edward Jones For Unauthorized Trading

Brian D. Addis, of Vandalia, Ohio, a stockbroker formerly registered with Edward Jones, has been named in a customer initiated investment related written complaint, which settled on January 5, 2017, for $1,966.95 in damages based upon allegations that Addis effected unauthorized equity transactions in the customer’s account in April of 2016. Financial Industry Regulatory Authority […]

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