David Francis La Grange (also known as David Francis LaGrange), of Winterset, Iowa, a stockbroker registered with Moloney Securities Co. Inc., has been fined $12,500.00 by United States Securities and Exchange Commission (SEC) and ordered to cease and desist violating federal securities laws based upon findings that he made the unsuitable investment recommendation of GWG…
John Gerard Forrester Jr., of Boca Raton, Florida, a stockbroker registered with Newbridge Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Forrester breached his fiduciary duties, committed fraud, was negligent, and breached contract in connection with…
David Richard Geake of Chicago, Illinois, a stockbroker registered with American Trust Investment Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $965,793.00 in damages based upon allegations of breach of contract, negligence, fraud, violation of Illinois securities laws, violation of FINRA Rules 2311,…
Jeffrey D. Noard, of Milwaukee, Wisconsin, a stockbroker formerly registered with Allied Beacon Partners, Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to a National Adjudicatory Council Decision containing findings that he made unsuitable investment recommendations to customers. In the Matter of Department…