Tag Archives: Herbert J. Sims & Co Inc.

Herbert J. Sims Sued By Investors For Fraud

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) […]

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Investors Sue HJ Sims For Serial Fraudster

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 […]

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Herbert J Sims Stockbroker Barred For Obstruction

November 01, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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 […]

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Herbert J Sims Stockbroker Sanctioned For Unauthorized Trading

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 […]

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Herbert J Sims Stockbroker Named in Customer Arbitration

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 […]

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