Tag Archives: J.P. Turner & Company LLC

JP Turner Chief Compliance Officer Sued In Arbitration

June 13, 2017  |   Posted by :   |   Failure To Supervise, Securities Arbitration Claims   |   0 Comments

Edward Barnett Woll, of Atlanta, Georgia, a chief compliance officer of J.P. Turner & Company, LLC, has been named in a customer initiated investment related arbitration claim on April 18, 2017, in which the customer requested $69,768.00 in damages based upon allegations that he failed to supervise a stockbroker, Dennis Salerno, who effected trades in […]

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Joseph Gunnar Sued For Misrepresentation

April 10, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Peter N. Girgis, of Staten Island, New York, a stockbroker formerly registered with Joseph Gunnar & Co., LLC, has been named in a customer initiated investment related arbitration claim on May 5, 2016, in which the customer requested $687,000.00 in damages based upon allegations that Girgis misappropriated funds from the customer, effected unauthorized and unsuitable […]

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FINRA Charges Broker with Eighteen Complaints with Making Unsuitable Recommendations

Glen J. Rauch, of Syosset, New York, a stockbroker with Avenir Financial Group, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Rauch engaged in significant sales practice violations, including the effecting of unauthorized and unsuitable transactions in customer accounts. Department of Enforcement v. Glen Rauch, No. […]

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Another Newport Coast Securities Stockbroker Barred For Fraud

Leonard Allen Goldberg, of Palm Springs, California, a stockbroker with Newport Coast Securities, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Order Accepting Offer of Settlement containing findings that Goldberg engaged in unsuitable and fraudulent trading of funds in customer accounts. Department of Enforcement […]

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JP Turner Stockbroker Barred In Investigation

April 11, 2016  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Christopher Charles Burtraw, of Lake Wood, Colorado, a stockbroker with J.P. Turner & Company LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he failed to cooperate in a FINRA investigation into allegations that Burtraw engaged in the “unauthorized borrowing” of multiple […]

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JP Turner and Three Brokers Charged

September 14, 2012  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

This week the SEC Charged J.P. Turner & Co. with the failure to supervise and three brokers for Churning. The Securities and Exchange Commission charged three brokers Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos with the churning of customer accounts while they were associated as registered representatives of JP Turner. JP Turner has approximately 513 […]

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