Edward Muster, of Boca Raton, Florida, a stockbroker registered with Herbert J. Sims Co., is the subject of six customer initiated investment related complaints concerning his conduct while registered with securities broker dealers. On January 26, 2024, a customer filed an investment related complaint alleging the unsuitable investment recommendation of private placements. The customer sought…
Shane Alexander Appelbaum, of Boca Raton, Florida, a stockbroker registered with Herbert J. Sims Co. Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $3,000,000.00 resulting from the sale of private placements during the time that Appelbaum was associated with Herbert…
Stacy Mari Goldsmith of Red Bank, New Jersey, a stockbroker registered with Herbert J. Sims Co Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $150,000.00 in damages based upon allegations that Goldsmith made the unsuitable investment recommendation of private placements…
Laurence Charles Greene of Ellijay Georgia a stockbroker formerly employed by Herbert J. Sims Co. Inc. is referenced in a customer initiated investment related arbitration claim which was settled for $65,000.00 in damages supported by accusations that (1) false or misleading statements had been made in regard to investments Greene sold to the customer (2)…
Larry Charles Wolfe of Boca Raton Florida a stockbroker formerly registered with Herbert J. Sims Co. Inc. (also known as HJ Simms) was named in a customer initiated investment related arbitration claim in which he was ordered by a Financial Industry Regulatory Authority (FINRA) Arbitration Panel to pay $480,000.00 in compensatory damages to a customer…
Michael Barry Stern of Boca Raton Florida is a stockbroker formerly registered with Herbert J. Sims and Co. Inc. who is the subject of a customer initiated investment related arbitration claim that settled for $4,000.00 in damages supported by accusations of failure to supervise, breach of contract, misrepresentation, and fraud pertaining to the customer’s structured…
Robert Baldwin Del Guercio, a stockbroker formerly registered with Herbert J. Sims & Co. Inc., has been barred from associating with any FINRA member in any and all capacities based upon allegations that he failed to cooperate in a FINRA investigation into allegations of his improper conduct. Letter of Acceptance, Waiver and Consent, No. 2016051166301…
Larry Charles Wolfe, of Boca Raton, Florida, a stockbroker formerly registered with Herbert J. Sims & Co. Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in customer accounts without authorization. Letter of Acceptance, Waiver…
Michael B. Stern, of Boca Raton, Florida, a stockbroker formerly registered with Herbert J. Sims & Co. Inc., has been named in a customer initiated investment related arbitration claim on May 18, 2016, in which the customer requested $50,000.00 in damages based upon allegations that Stern made unsuitable investment recommendations, breached his fiduciary duty, and…
Larry C. Wolfe, of Boca Raton, Florida, a stockbroker with Herbert J. Sims & Co., Inc., is the subject of an investment related customer initiated arbitration claim before the Financial Industry Regulatory Authority where the customer is seeking $1,500,000.00 in damages based upon the allegations that Wolfe engaged in fraudulent omissions and misrepresentations concerning investments,…