Daniel Philip Raupp of Setauket, New York, a stockbroker registered with Concorde Investment Services LLC, was the subject of a customer initiated investment related complaint filed on September 6, 2023, in which the customer requested compensatory damages based upon allegations that Raupp made omissions of material fact in connection with the sale of direct investments…
David Jon Zupek of Racine, Wisconsin, a stockbroker registered with Concorde Investment Services LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $68,500.00 in damages based upon allegations that Zupek violated FINRA rules, breached his fiduciary duties, committed fraud, breached a contract,…
Michael Philip Ecker (also known as Mike Ecker), of Wellington, Florida, a stockbroker registered with Concorde Investment Services LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $60,000.00 in damages based upon allegations that Ecker breached his fiduciary duties to the customer, was negligent, and breached…
Richard A. Rodriguez Jr. of Fruitland Park, Florida, a stockbroker formerly registered with Concorde Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that Rodriguez made misrepresentations, acted negligently, breached a fiduciary duty, breached a contract, and…
Jeffrey Alan Kiesnoski of Jefferson, New York, a stockbroker registered with Concorde Investment Services LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $8,500.00 in damages based upon accusations that Kiesnoski breached a contract and breached a fiduciary duty in connection with the recommendation and sale of…
Richard Anthony Rodriguez, of Fruitland Park, Florida, a stockbroker formerly registered with Concorde Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 in damages founded on allegations that omissions and misrepresentations about alternative investments had been made by Rodriguez while he was…
Joseph Gerard Michaletz (also known as Joseph Gerard Michaeletz, Joseph Gerald Michaletz, and Joe Michaletz), of Mankato, Minnesota, a stockbroker formerly registered with Concorde Investment Services LLC and Triad Advisors Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $2,550,000.00 in damages founded on allegations…
William Aubrey Morrow (also known as W. Aubrey Morrow) of San Diego California a stockbroker and investment adviser representative of Independent Financial Group (IFG) is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages founded upon allegations that they were placed into unsuitable direct investments…
Robert Scott Smith of Newberg Oregon a stockbroker formerly registered with Concorde Investment Services is the subject of a customer initiated investment related written complaint on May 10, 2021 in which the customer sought $678,500.00 in damages supported by accusations that they had been sold unsuitable private placements by Smith while he was registered with…
Robert Russel Tweed (also known as Rusty Tweed) of San Marino California the owner of Tweed Financial Services and former stockbroker of Concorde Investment Services LLC and Cabot Lodge Securities LLC has been barred as stockbroker and investment adviser representative by Securities Exchange Commission (SEC) according to an Order founded on allegations of Tweed misleading…
Mark Huber of Racine Wisconsin a stockbroker and investment adviser representative of Concorde Investment Services is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $32,000.00 in damages supported by accusations that Huber breached a fiduciary duty in reference to a real estate investment trust (REIT) that…
Craig Anthony Zabala of Harlem New York a stockbroker formerly registered with John W. Loofbourrow Associates and CEO of Concorde Group Holdings has been charged by Securities and Exchange Commission (SEC) with making misrepresentations to investors and misappropriating their funds. Securities and Exchange Commission v. Craig A. Zabala et al. Case No. 1:20-cv-07880 (Sept. 24,…
Richard Anthony Rodriguez of Fruitland Park Florida a stockbroker formerly registered with Concorde Investment Services is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $150,000.00 in damages based upon allegations that the customer sustained losses on direct participation program interests or limited partnerships interests because of…
Concorde Investment Services and its Chief Compliance Officer Kimberlee Elizabeth Levy of Livonia Michigan have been sanctioned by Financial industry Regulatory Authority (FINRA) based upon findings that they failed to supervise a stockbroker who enabled a disqualified stockbroker to effect trades in the accounts of Concorde customers. Letter of Acceptance Waiver and Consent No. 2018060577602…
Robert Scott Smith of Newberg Oregon a stockbroker formerly associated with Concorde Investment Services has been referenced in a customer initiated investment related arbitration claim in which the customer requested $360,000.00 in damages supported by allegations that the customer had been defrauded by investing in private placements through Smith during the period in which the…
Jill Marie Cody (also known as Jill Marie Tramontano) of Spring Lake New Jersey a stockbroker associated with Westminster Financial Securities Inc. and Concorde Investment Services LLC has been referenced in a customer initiated investment related arbitration claim which has been settled for $125,000.00 in damages supported by allegations that (1) misrepresentations were made to…
Paul Michael Mallory of Livonia Michigan a stockbroker formerly registered with Concorde Investment Services LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity founded on findings that (1) Mallory neglected to adequately supervise the recommendations of a stockbroker to ensure that those recommendations…
Larry Steven Werbel of Chagrin Falls Ohio a stockbroker formerly registered with Concorde Investment Services LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative or otherwise associating with securities broker dealers or investment advisories according to an Order Instituting Administrative Proceedings Pursuant To Investment Advisers Act…
Richard Anthony Rodriguez Jr, of Fruitland Park Florida a stockbroker currently employed by Concorde Investment Services LLC is the subject of a customer initiated investment related complaint in which the customer requested $200,000.00 in damages supported by allegations that Rodriguez failed to inform the customer about the risks and features of non-traded real estate investment…
Jill Marie Cody (also known as Jill Marie Tramontano) of Neptune New Jersey is a stockbroker formerly registered with Concorde Investment Services LLC and investment advisor representative of Concorde Asset Management whose investment advisor representative and agent registration were revoked by the New Jersey Bureau of Securities according to a Summary Revocation Order containing findings…
Paul Michael Mallory, of Livonia, Michigan, a stockbroker registered with Concorde Investment Services, is the subject of a customer initiated investment arbitration claim, where the customer has sought damages based upon accusations that Mallory failed to supervise floating rate note transactions effected in the customer’s account from 2014 to 2016. Financial Industry Regulatory Authority (FINRA)…
Richard Grant Cody, of Spring Lake, New Jersey, a stockbroker formerly employed with Concorde Investment Services, LLC, has been named in a customer initiated investment related arbitration claim on September 13, 2017, in which the customer alleged that Cody effected floating rate note trades in the customer’s portfolio without the customer’s consent between 2013 and…
Richard G. Cody, of Spring Lake, New Jersey, a stockbroker formerly registered Concorde Investment Services, LLC, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that he obstructed a FINRA investigation into allegations of his business activities which occurred while his FINRA securities registration was suspended. Department of Enforcement…
Robert Russel Tweed, of San Marino, California, a stockbroker formerly registered with Concorde Investment Services, LLC, has been named in an investigation by Financial Industry Regulatory Authority (FINRA) pursuant to the receipt of a Wells Notice regarding Tweed’s conduct. FINRA Public Disclosure reveals that Tweed has been identified in twelve customer initiated investment related disputes…
Jill M. Cody, of Spring Lake, New Jersey, a stockbroker formerly registered with Westminster Financial Securities, Inc., has been named in a customer initiated investment related written complaint on January 18, 2017, based upon allegations that Cody misappropriated the customer’s funds. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Cody has been identified in…
Frank T. Dunn Jr., of Bend, Oregon, a stockbroker with Concorde Investment Services, LLC, is the subject of a pending customer dispute in which the customer has requested $452,368.15 in damages based upon with allegations that Dunn breached his fiduciary duty, was negligence, and made misrepresentations in connection with the recommendation and sale of a…
Barry W. Lemay, a stockbroker with Concorde Investment Services, LLC, is currently subject to a pending customer dispute from July 29, 2016, in which a customer has requested $2,822,797.02 in damages in connection with allegations against Lemay of breach of fiduciary duty, negligence, and unsuitable recommendations stemming from tenancy in common investments. FINRA Public Disclosure…