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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Tag Archives: Larry Charles Wolfe
Investors Sue HJ Sims For Serial Fraudster
October 14, 2019 | Posted by : Guiliano Law Group | Bond Fraud, Breach of Fiduciary Duty, Elder Financial Abuse, Investment and Regulatory News, Structured Products | 0 Comments
Herbert J Sims Stockbroker Sanctioned For Unauthorized Trading
July 03, 2017 | Posted by : Guiliano Law Group | Bond Fraud, Investment and Regulatory News, Unauthorized Trading | 0 Comments
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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