Tag Archives: H. Beck

H Beck Stockbroker Sanctioned For Misstatements

January 26, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Steve Patrick Walsh, of Clive, Iowa, a stockbroker currently registered with H. Beck, Inc., is the subject of a Financial Office of Financial Regulation Order which denied his application for securities registration according to a Stipulation and Consent Agreement containing findings that Walsh made misstatements to Florida’s Office of Financial Regulation within his application for […]

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Customer Sues H Beck For Excessive Fees

September 22, 2017  |   Posted by :   |   Excessive Trading, Over Concentration   |   0 Comments

Dan Edward Droeg, of Mesa, Arizona, a stockbroker currently registered with H. Beck, Inc., is the subject of an investment related complaint filed by a customer on November 18, 2016, where the customer sought $250,067.09 in damages supported by allegations that Droeg charged the customer excessive fees, misstated the value of the customer’s securities holdings, […]

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