William Hennion of New York, New York, the Vice President of Hennion Walsh Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $260,000.00 in damages based upon allegations of unsuitable recommendations of unit investment trusts and bonds at Hennion Walsh Inc. Financial Industry Regulatory Authority (FINRA)…
Marc S. Strafaci (also known as Marr S. Strafari) of Parsippany New Jersey a stockbroker employed by Hennion Walsh Inc. has been identified in a customer initiated investment related arbitration claim which was settled to resolve accusations that municipal bond trades which were purchased by Strafaci in the customer’s Hennion Walsh account failed to be…
Brian Christopher Rieman of Parsippany New Jersey a stockbroker associated with Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $19,000.00 in damages supported by allegations that Rieman’s investment recommendations failed to be suitable for the customer during the period in which the stockbroker was employed…
Joseph Ismael Rodriguez of Parsippany New Jersey a stockbroker currently employed by Hennion Walsh Inc. has been identified in a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages founded on accusations that the customer was provided with defective investment advice regarding investments including unit investment trusts and mutual funds between…
Sean Michael Logue of Parsippany New Jersey a stockbroker currently registered with Hennion Walsh Inc. is the subject of a customer initiated investment related written complaint which was resolved for $10,000.00 on May 9, 2019 based upon accusations of bad mutual fund investment recommendations being made to the customer which resulted in the customer purchasing…
William Hennion of Parsippany New Jersey a stockbroker currently registered with Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $300,000.00 in damages supported by allegations that between 2015 and 2018, the customer was provided poor investment advice from Hennion as it pertained to investments…
Stephen George Kowalski of Parsippany a stockbroker currently registered with Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $1,000,000.00 in damages supported by allegations that between 2012 and 2017, municipal debt purchases were inappropriate for the customer and resulted in the customer incurring unwarranted losses….
Joseph Ismael Rodriguez of Parsippany New Jersey a stockbroker currently employed by Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim which settled for $47,500.00 in damages founded on accusations that the customer was placed into investment grade municipal bonds from 2013 to 2017 which failed to be appropriate for…
Mamode Abdullah Oozeerally (also known as Sony Oozeerally) of Parsippany New Jersey a stockbroker currently employed by Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages founded on accusations that (1) unauthorized trades were executed in the customer’s investment account (2) the…
Marc S. Strafaci of Parsippany New Jersey a stockbroker currently registered with Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim which was resolved for $83,000.00 in damages supported by accusations that Strafaci made unsuitable investment recommendations to the customer concerning municipal debt products that the customer ultimately purchased and…
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that stockbrokers John Dimitrious Tsoukalas and Vincent Wallace are referenced in customer initiated investment related disputes pertaining to allegations of their unsuitable sales practices while they were registered with Hennion Walsh – a Financial Industry Regulatory (“FINRA”) brokerage firm headquartered in Parsippany, New Jersey. More Customers Sue…
Hennion Walsh Inc. a broker dealer headquartered in Parsippany New Jersey has been censured and fined $165,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that (1) Hennion Walsh’s registered representatives made unsuitable investment recommendations concerning the switching of unit investment trusts in customers’ accounts and (2) Hennion Walsh neglected…
William Hennion of Parsippany New Jersey the current vice president of Hennion Walsh Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $50,000.00 in damages founded on allegations that inappropriate municipal debt investment recommendations had been made to the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01082 (Mar….
Patrick Timothy Walsh of Parsippany New Jersey a stockbroker currently registered with Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $100,000.00 in damages founded on accusations that municipal-debt transactions executed in the customer’s account were not suitable for the customer. Financial Industry Regulatory Authority (FINRA)…
Stephen George Kowalski of Parsippany New Jersey is a stockbroker currently registered with Hennion and Walsh who is the subject of a customer initiated investment related arbitration claim in which the customer sought six hundred seventy thousand dollars in damages based upon accusations that municipal debt purchases were effected in customers’ accounts that were not…
Mamode (Sony) Abdullah Oozeerally is a stockbroker currently registered with Hennion and Walsh who is the subject of a customer initiated investment related arbitration claim which settled for sixty thousand dollars in damages founded on accusations that Oozeerally executed municipal debt purchases in the customer’s account which were not suitable for the customer. Financial Industry…
Joseph Ismael Rodriguez of Parsippany, New Jersey, a stockbroker currently registered with Hennion & Walsh, Inc., is the subject of a customer initiated investment related arbitration claim, where customers requested $125,000.00 in damages based upon accusations that investment grade municipal bond purchases effected in the customers’ accounts were not suitable for the customers. Financial Industry…
Sean Michael Logue, of Parsippany, New Jersey, a stockbroker currently registered with Hennion & Walsh, Inc., has been named in a customer initiated investment related arbitration claim on February 28, 2017, in which the customer requested $150,000.00 in damages based upon allegations that Logue effected unsuitable municipal bond transactions in the customer’s investment account. Financial…