Tag Archives: Fulcrum Securities LLC

Colorado Places Fulcrum Stockbroker On Heightened Supervision

August 27, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Colorado Places Fulcrum Stockbroker On Heightened Supervision

Athanasios Tomaras (also known as Thanasi Tomaras) of Oldsmar Florida a stockbroker formerly employed by Fulcrum Securities LLC and Fulcrum Advisory Services LLC is referenced in a Stipulation and Consent Licensing Order issued by Colorado Division of Securities in which Tomaras was placed on heightened supervision founded on allegations of customer disputes and regulatory infractions […]

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Fulcrum Securities Sued For Failure to Supervise

June 13, 2017  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

William Terrence Behrens, of Saint Louis, Missouri, a stockbroker formerly registered with Fulcrum Securities, LLC, has been named in a customer initiated investment related arbitration claim on April 10, 2017, in which the customer requested $189,000.00 in damages based upon allegations against Behrens of negligent supervision in reference to the handling of the customer’s investments […]

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