Jorge Hernandez, of Glendora, California, a stockbroker registered with Gradient Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to comply with a FINRA investigation into allegations referenced in a customer complaint. Letter of Acceptance, Waiver, and Consent No. 2023078870201 (October 9, 2023)….
Jack Howard Owens Jr. of Lady Lakes Florida a stockbroker formerly registered with Gradient Securities LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $17,500.00 in damages supported by accusations that there was a breach of fiduciary duty by the stockbroker and that the customer’s annuity…
Glenn Patrick Lattz of Lady Lake Florida a stockbroker formerly registered with Gradient Securities LLC is the subject of a customer initiated investment related arbitration claim which was resolved for $65,000.00 in damages supported by allegations that the customer’s annuity accounts had been liquidated which resulted in undue losses and penalties. Financial Industry Regulatory Authority…
Jack Howard Owens Jr. of Lady Lake Florida a stockbroker associated with Gradient Securities LLC has been referenced in a customer initiated investment related arbitration claim which has been resolved for $65,000.00 in damages based upon accusations that between December of 2017 and February of 2018, the customer was placed into bad variable annuities which…