Tag Archives: Liberty Partners Financial Services LLC

Liberty Partners Sued For Breach Of Fiduciary Duty

July 20, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Liberty Partners Sued For Breach Of Fiduciary Duty

John Francis Davenport of Norwalk Connecticut a stockbroker currently registered with Liberty Partners Financial Services is the subject of a customer initiated investment related arbitration claim in which the customer requested unspecified damages based upon allegations that a fiduciary duty that was owed to the customer had been breached and that the stockbroker was negligent […]

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Liberty Partners Executive Fined For Failure To Supervise

Jeffrey Allen Fanning of West Palm Beach Florida is a former owner and chief executive officer of Liberty Partners Financial Services LLC who has been fined $20,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Order Accepting Offer […]

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Liberty Partners Financial Services Named In Fraud Claim

February 02, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Brian J. Zimmerman, of San Diego, California, a stockbroker formerly registered with Liberty Partners Financial Services, LLC, has been named in a customer initiated investment related arbitration claim, in which the customer was awarded $20,000.00 in damages on March 14, 2016, based upon allegations that Zimmerman made misrepresentations and omissions to the customer, churned the […]

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Customer Filed Unsuitability Arbitration Claim Against Salomon Whitney Financial

September 17, 2016  |   Posted by :   |   FINRA Securities Arbitration   |   0 Comments

Emil Botvinnik, of Farmingdale, New York, a stockbroker for Salomon Whitney Financial, is subject to a pending customer dispute from April 29, 2016, in which a customer requested $99,000.00 in damages in connection with allegations against Botvinnik of churning the customer’s account, and making investment recommendations which were not suitable for the customer. FINRA’s BrokerCheck […]

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A Legend in His Own Fraud

August 25, 2016  |   Posted by :   |   Churning, Failure To Supervise, Investment and Regulatory News   |   0 Comments

Legend Securities Stockbroker Charged With Fraud. Hank M. Werner, of New York, New York, a stockbroker associated with Liberty Partners Financial Services, LLC, and later Legend Securities, Inc., was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Werner engaged in securities fraud, made unsuitable investment recommendations, and engaged in excessive amounts […]

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