Tag Archives: Huntleigh Securities Corporation

Investors Accuses Huntleigh Securities Of Buying Private Placement Without Permission

October 08, 2020  |   Posted by :   |   Alternative Investments, Private Placement Fraud, Securities Arbitration Claims, Unauthorized Trading   |   Comments Off on Investors Accuses Huntleigh Securities Of Buying Private Placement Without Permission

Scott Thomas Wolfrum of Indianapolis Indiana a stockbroker formerly registered with Huntleigh Securities Corporation is the subject of a customer initiated investment related written complaint which was settled for $449,300.00 on April 9, 2019 based upon accusations that the customer was placed into a private placement without authorization in January of 2018 when Wolfrum was […]

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Huntleigh Stockbroker Fined For Unsuitable Recommendations

February 20, 2018  |   Posted by :   |   Investment and Regulatory News, Unit Investment Trusts (UITs)   |   0 Comments

Jeffrey Collins Kinder of St. Louis Missouri is a stockbroker formerly registered with Huntleigh Securities Corporation who has been fined twenty thousand dollars and suspended for fifteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he made unsuitable investment recommendations to customers in regard […]

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Huntleigh Securities Censured For Fleecing Customers

February 20, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Huntleigh Securities Corporation is a brokerage firm headquartered in St. Louis Missouri who has been censured by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm overcharged customers on unit investment trust transactions and failed to supervise the application of sales charge discounts in customer accounts. Letter of Acceptance Waiver and […]

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