Tag Archives: Concorde Investment Services LLC

Concorde CEO Charged With Securities Fraud

February 01, 2021  |   Posted by :   |   Investment and Regulatory News, Private Placement Fraud, Securities Fraud, Stockbroker Theft   |   Comments Off on Concorde CEO Charged With Securities Fraud

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, […]

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Concorde Investment Services Sued For Negligence

January 19, 2021  |   Posted by :   |   Breach of Fiduciary Duty, Direct Participation Programs, FINRA Securities Arbitration, Investment and Regulatory News, Stockbroker Negligence   |   Comments Off on Concorde Investment Services Sued For Negligence

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 […]

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Investors Sue Concorde Investment Services For Fraud

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 […]

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Concorde Stockbroker Sanctioned For Failure To Supervise

November 24, 2019  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

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 […]

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Investors Sue Concorde Investments For Bad REITs

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 […]

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Regulator Revokes Registration Of Concorde Stockbroker

March 16, 2018  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes   |   0 Comments

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 […]

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Customer Sues Concorde For Unauthorized Trading

November 01, 2017  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

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 […]

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Concorde Investment Services Stockbroker Suspended In Investigation

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 […]

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Concorde Investment Services Stockbroker Under Investigation

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 […]

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Concorde Investment Services Sued For Misrepresentation

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 […]

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Concorde Broker Barry LeMay May Owe His Customers Almost $3 Million

September 27, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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 […]

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