Tag Archives: Hennion & Walsh Inc.

Hennion Walsh Sued By Investors For Unsuitable Bond Recommendations

April 18, 2020  |   Posted by :   |   Bond Fraud, Investment and Regulatory News, Municipal Bond Fraud, Securities Arbitration Claims   |   Comments Off on Hennion Walsh Sued By Investors For Unsuitable Bond Recommendations

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 […]

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Hennion Walsh Sued By Investors For Fraud

April 08, 2020  |   Posted by :   |   Securities Fraud, Unit Investment Trusts (UITs)   |   Comments Off on Hennion Walsh Sued By Investors For Fraud

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 […]

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Investors Accuse Hennion Walsh Of Bad Investment Advice

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 […]

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Investors Sue Hennion Walsh For Defective Investment Advice

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 […]

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Investors Sue Hennion Walsh For Municipal Bond Misconduct

August 28, 2019  |   Posted by :   |   Investment and Regulatory News, Municipal Bond Fraud   |   0 Comments

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. […]

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Investor Sues Hennion Walsh For Bad Investment Advice

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 […]

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Hennion Walsh Sued By Investors For Churning

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 […]

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Investor Sues Hennion Walsh For Muncipal Bond Fraud

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 […]

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Customers Sue Hennion Walsh For Bad Investments

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 […]

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Hennion Walsh Fined For Failure To Supervise UITs

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 […]

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Hennion Walsh Sued By Customers For Bad Advice

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. […]

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Investor Sues Hennion Walsh For Bad Bond Recommendations

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) […]

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Hennion Walsh Sued By Customer For Suitability

February 20, 2018  |   Posted by :   |   Investment and Regulatory News, Municipal Bond Fraud   |   0 Comments

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 […]

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Customer Sues Hennion And Walsh For Suitability

November 28, 2017  |   Posted by :   |   Investment and Regulatory News, Municipal Bond Fraud   |   0 Comments

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 […]

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Hennion & Walsh Named In Arbitration Claim

April 11, 2017  |   Posted by :   |   Investment and Regulatory News, Municipal Bond Fraud   |   0 Comments

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 […]

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