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…
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…
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…