Tag Archives: Capital Securities Management Inc.

FINRA Sanctions Capital Securities Stockbroker

September 14, 2020  |   Posted by :   |   Excessive Trading, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations   |   Comments Off on FINRA Sanctions Capital Securities Stockbroker

Michael Rubel of Red Bank New Jersey a stockbroker formerly registered with Capital Securities Management has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he made unsuitable unit investment trust transactions in customer accounts at Capital Securities Management. Letter of Acceptance Waiver and Consent […]

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Capital Securities Sued For Fraud In Connection with Sale of Unsuitable Securities

March 15, 2019  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

Richard Thomas Ragold of Florham Park New Jersey a stockbroker currently registered with Capital Securities Management Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that the customer was placed into unsuitable investments including (1) unit investment trusts (2) real estate […]

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Capitol Securities Management Stockbroker Investigated For Fraud

May 18, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

Teryl Lee Trenchard, of Reston, Virginia, a stockbroker formerly registered with Capital Securities Management, Inc., has been identified in a Financial Industry Regulatory Authority (FINRA) investigation on March 10, 2017, wherein FINRA is examining alleged fraudulent activities of Trenchard. Trenchard was terminated by Capital Securities Management on March 10, 2017, based upon allegations that he […]

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Capital Securities Management Broker Barred In Investigation

Andrew Bennett Kramer, of Brooklyn, New York, a stockbroker formerly registered with Capital Securities Management, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into allegations of Kramer’s wrongdoing referenced in a customer […]

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Capital Securities Management Sued By Customer

Louis Anthony Pepe, of Melville, New York, a stockbroker currently registered with Capital Securities Management, Inc., has been named in a customer initiated investment related written complaint on February 7, 2017, based upon allegations that Pepe failed to adjust the customer’s investment strategy in light of the customer’s constant stock losses. Financial Industry Regulatory Authority […]

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LPL Financial LLC Stockbroker Investigated For Suitability Violations

January 05, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Steve Dale Health, of Newport News, Virginia, a stockbroker formerly registered with Capital Securities Management, Inc., is currently the subject of a Financial Industry Regulatory Authority (FINRA) investigation which was launched on November 11, 2016, and focuses on allegations that Heath may have traded in customer accounts on a discretionary basis, and effected or recommended […]

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Capital Securities Management Stockbroker Named in Alleged Unsuitability Claim

James B. Moran, of Florham Park, New Jersey, is subject to a pending customer dispute from May 11, 2016, in which a customer requested $167,640.35 in connection with allegations against Moran of effecting transactions in the customer’s account that were not suitable. According to FINRA records, Moran has been subject to six additional disclosure incidents. […]

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Capital Securities Management Named In Fraud Claim

Andrew B. Kramer, of Brooklyn, New York, a stockbroker registered with Capital Securities Management, Inc., is subject to two pending customer disputes. Particularly, on November 16, 2015, customers lodged a complaint against Kramer, in which $27,000.00 in damages were requested in connection with allegations that Kramer’s lack of attentiveness to the customers’ accounts resulted in […]

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