William Robert Slepcevich, of Naples, Florida, a stockbroker registered with Questar Capital Corporation, was the subject of a customer initiated investment related complaint that was settled on January 20, 2021, for $25,600.00 in damages based upon allegations that Slepcevich made the unsuitable investment recommendation of Business Development Companies (“BDCs”) when Slepcevich was associated with Questar…
Michael Harris Sears of Englewood, Florida, a stockbroker registered with Questar Capital Corporation, was the subject of a customer initiated investment related complaint filed on October 6, 2022, in which the customer requested $5,000.00 in damages based upon allegations that Sears made the unsuitable investment recommendation of real estate securities when Sears was associated with…
Frank John Calise, of Scottsdale, Arizona, a stockbroker associated with Questar Capital Corporation, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $50,000.00 in damages based upon allegations that Calise engaged in misrepresentation, fraud, and breach of fiduciary duty in connection with the…
Louis Maurice Olave of Burlington, Vermont, a stockbroker registered with Questar Capital Corporation has been fined $5,000.00 and suspended for three months by Vermont Department of Financial Regulation based upon allegations that Olave engaged in private securities transactions or “selling away.” Case No. 21-007-S (Apr. 30, 2021). This is not the first time that Olave has been…
Miaojun Yuan, of City of Industry, California, a stockbroker registered with Questar Capital Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $140,000.00 in damages based upon allegations that Yuan made unsuitable recommendations and misrepresentations in connection with the recommendation and sale…
Dawn Alison Strachan (also known as Dawn Alison Osogwin and as Dawn Allison Osogwin) of Torrance California a stockbroker formerly registered with Questar Capital Corporation is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $999,999.00 in damages based on accusations of Strachan’s unsuitable recommendations regarding private placements…
Louis Maurice Olave of Burlington Vermont a stockbroker formerly registered with Questar Capital Corporation has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he had been selling away. Letter of Acceptance Waiver and Consent No. 2020065678101 (Apr. 7,…
Kevin Donald Wanner of Bismarck North Dakota a stockbroker formerly employed by Questar Capital Corporation has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor representative or otherwise associating with a securities broker dealer or investment advisor representative according to an Order pertaining to findings of Wanner defrauding investors….
Jerry P. Michna of Louisville Ohio a stockbroker formerly registered with Questar Capital Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought $270,000.00 in damages supported by accusations of unsuitable energy sector stock and over-the-counter equities being sold to the customer by Michna during the period in which…
Miaojun Yuan of City of Industry California a stockbroker formerly employed by Questar Capital Corporation is the subject of a customer initiated investment related complaint on July 15, 2019 where the customer sought damages estimated to exceed $5,000.00 supported by accusations that from 2014 to 2016, the customer had been placed into real estate securities…
Elaine Marie Zito of Scottsdale Arizona a stockbroker formerly registered with Questar Capital Corporation is referenced in a customer initiated investment related arbitration claim in which the customer requested $87,397.47 in damages founded on accusations of the customer being placed into investments including fixed and variable annuities which were not appropriate for the customer during…
Jerry P. Michna of Louisville Ohio a stockbroker formerly employed by Questar Capital Corporation is the subject of a customer initiated investment related written complaint on July 23, 2018 where the customer requested $250,000.00 in damages based upon accusations that energy-sector equity purchases were executed in the customer’s account that were not suitable for the…
Andrew Jack Cohen of Cherry Hill New Jersey a stockbroker currently employed by Questar Capital Corporation is the subject of a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages founded on allegations of (1) breach of fiduciary duty (2) violation of Pennsylvania Unfair Trade Practices and Consumer Protection Law…
Tommy Huy Mai, of Westminster, California, a stockbroker formerly registered with Questar Capital Corporation, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged customer signatures on account documentation and communicated misleading information about securities…
Questar Capital Corp., a brokerage firm headquartered in Minneapolis, Minnesota, has been censured by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it disadvantaged charitable organization and retirement account customers by overcharging them on mutual fund transactions. Letter of Acceptance, Waiver and Consent, No. 2016049977801 (Nov. 2, 2017). According to…
Adam K. Veron, of Lake Charles, Louisiana, a stockbroker formerly registered with Questar Capital Corporation, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2017053237601 (Aug. 22, 2017). According…
Terry Craig Sandvold, of Saint Louis Park, Minnesota, a stockbroker currently registered with Questar Capital Corporation, has been named in a customer initiated investment related written complaint on February 12, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Sandvold made misrepresentations to the customer concerning the step-up figures…
Jeffrey A. Mohlman, a registered representative with Questar Capital Corporation, was permanently barred in all capacities from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to allegations that he had failed to cooperate with FINRA’s investigation into allegations that Mohlman engaged in unapproved and undisclosed private securities transactions. Letter of Acceptance, Waiver,…