Robert Gerald Lorente (also known as Bob Lorente), of Northville, Michigan, a stockbroker previously registered with Great Point Capital LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $250,000.00 in damages based upon allegations that Lorente breached his fiduciary duties, breached…
Todd Arnold Havemeister, of Melbourne, Florida, a stockbroker formerly registered with Great Point Capital LLC, has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Havemeister made misleading communications to investors. Letter of Acceptance, Waiver, and Consent, No. 2022074921901 (March 19, 2024)….
Rene Javier Castro, of Chicago, Illinois, a stockbroker registered with Great Point Capital LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $175,000.00 in damages based upon allegations that Castro made unsuitable recommendations, was negligent, breached his fiduciary duties, breached a contract, and violated state securities…