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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Tag Archives: Fulcrum Securities LLC
Colorado Places Fulcrum Stockbroker On Heightened Supervision
August 27, 2020 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Unauthorized Trading, Unsuitable Investment Recommendations | Comments Off on Colorado Places Fulcrum Stockbroker On Heightened Supervision
Fulcrum Securities Sued For Failure to Supervise
June 13, 2017 | Posted by : Guiliano Law Group | 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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