Geoffrey Michael Wolterstorff (also known as Geoff Wolterstorff), a stockbroker based in Eau Claire, Wisconsin, and associated with Lifemark Securities Corp., has been sanctioned by the United States Securities and Exchange Commission (SEC). In the Matter of Geoffrey Wolterstorff, Administrative Proceeding File No. 3-21983 (July 29, 2024). According to the Order, between 2020 and 2022,…
Garrett Wayne Moretz of Mooresville, North Carolina, a stockbroker registered with LifeMark Securities Corp., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $35,000.00 in damages. The claim alleged breach of fiduciary duty, unsuitable investment recommendations, misrepresentation and omissions of material facts, negligence,…
Patrick Christopher Durst of Centennial, Colorado, a stockbroker registered with Lifemark Securities Corp., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Durst made unsuitable recommendations of certain alternative investments during the time that Durst was associated with Lifemark…
Alexander Strachan Hackley (also known as Lex Hackley), of Centennial, Colorado, a stockbroker registered with Lifemark Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Hackley breached his fiduciary duties to the customer, failed to supervise certain…
Stephen Corley Carver of Peoria Illinois a stockbroker formerly registered with LifeMark Securities Corp. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Carver failed to cooperate with FINRA personnel during the time that he was investigated for a customer initiated investment…
James Alan Hawryliak of Rochester New York a stockbroker formerly employed by Lifemark Securities Corp. is referenced in a customer initiated investment related written complaint on March 16, 2017 where the customer sought $28,000.00 in damages based upon allegations that omissions had been made concerning the tax consequences pertaining to the customer’s investment transactions which…