Tag Archives: Randy T. Carpen

FINRA Bars Vestech Stockbroker For Churning

Randy T. Carpen (also known as Ramsey Carpen) of Saint Louis Missouri a stockbroker formerly registered with Vestech Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings he failed to comply with FINRA during an investigation into allegations of his excessive […]

Read More »

Investors Sue Vestech For Unauthorized Trading

Randy T. Carpen of Saint Louis Missouri a stockbroker formerly employed by Vestech Securities Inc. and Freedom Investors Corp. is referenced in a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages founded on allegations that (1) trades were executed on an excessive basis (2) transactions lacked authorization and (2) stocks […]

Read More »

FINRA Investigates Vestech Broker For Misconduct

August 01, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Randy T. Carpen of Saint Louis, Missouri, a stockbroker formerly registered with Vestech Securities, Inc. is referenced in a Financial Regulatory Industry Authority (FINRA) investigation concerning Carpen’s possible unsuitable trading in a customer’s account. FINRA Examination No. 20170526986 (May 10, 2018). Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Carpen is referenced in six […]

Read More »