Tag Archives: Finance 500 Inc.

Investors Sue Finance 500 For Securities Fraud

Robert Lansing Hicks (also known as Lance Hicks) of Irvine California a stockbroker and former owner of Finance 500 Inc. is referenced in a customer initiated investment related arbitration claim which was resolved for $45,000.00 in damages founded on accusations that (1) contractual obligations to the customer had been breached (2) the customer’s account had […]

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Customer Sues Finance 500 For Securities Fraud

Eric Richard Marlin of Solana Beach, California, a stockbroker registered with Finance 500, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer sought $1,070,145.00 in damages founded on accusations including breach of contract, negligent misrepresentations and omissions, breach of fiduciary duty, breach of the covenant of good faith and […]

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Finance 500 Named In Customer Dispute About Suitability

November 21, 2017  |   Posted by :   |   Unsuitable Investment Recommendations   |   0 Comments

William Henry Watson III, of Irvine, California, a stockbroker formerly registered with Finance 500, Inc., is the subject of a customer initiated investment related written complaint, which settled on February 15, 2017, for $161,653.66 in damages founded on allegations that Watson effected unsuitable direct investment product transactions with the customer’s funds. Financial Industry Regulatory Authority […]

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Regulator Suspends Finance 500 Broker For Selling Away

August 31, 2017  |   Posted by :   |   Selling Away and Outside Activities   |   0 Comments

John Kostic, of Irvine, California, a stockbroker formerly registered with Finance 500, Inc., has been fined $10,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2015045360601 […]

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Finance 500 Named Sued For Fraud

Robert Lansing Hicks, of Irvine, California, a former owner of Finance 500, Inc., a brokerage firm headquartered in Irvine California, has been named in a customer initiated investment related arbitration claim on January 11, 2017, in which the customer requested $102,500.00 in damages based upon allegations that Hicks breached his contractual and fiduciary obligations to […]

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