Tag Archives: SCF Securities Inc

SCF Securities Sued By Investors For Fraud

September 30, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Securities Fraud   |   Comments Off on SCF Securities Sued By Investors For Fraud

Murray Todd Petersen (also known as M. Todd Petersen) of Roseville California a stockbroker formerly employed by SCF Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $960,000.00 in damages founded upon accusations of the breach of fiduciary duty and fraud as it pertained to an outside […]

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SCF Securities Broker Barred In FINRA Probe

January 19, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Tami Susan Balas of Montoursville Pennsylvania a stockbroker formerly registered with SCF Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Balas did not respond to a FINRA inquiry. Case No. 2017056821201 (Nov. 19, 2018). FINRA Public Disclosure reveals that Balas initially […]

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SCF Fires Stockbroker For Churning Customer Accounts

August 17, 2018  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   0 Comments

Cletus Enyinia Emeziem is a stockbroker formerly registered with SCF Securities Inc. who has been discharged by the firm on  based upon allegations that Emeziem engaged in a pattern of trading in customer accounts on an excessive basis. This is not the first time that Emeziem has been discharged by a FINRA member firm for […]

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Investors Sue SCF Securities For Bad Recommendations

July 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Lee Robert Donais of Lighthouse Point Florida a stockbroker formerly registered with SCF Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $200,000.00 in damages supported by allegations that unsuitable investment recommendations were made to the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01271 (Apr. […]

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SCF Securities Broker Sanctioned For Failure To Comply

Williard Lee Golightly of Fresno California is a stockbroker formerly registered with SCF Securities Inc. and advisor employed by Alamo Asset Advisors who has been sanctioned by Financial Industry Regulatory Authority (FINRA) on December 14, 2016 based upon accusations that he failed to cooperate with his obligations to pay $155,000.00 in compensatory damages to a […]

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FINRA Charges SCF Securities Stockbroker With Suitability

February 20, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Peter Orlando is a stockbroker formerly associated with SCF Securities Inc. who is the subject of a Complaint brought by Financial Industry Regulatory Authority (FINRA) containing accusations that Orlando made unsuitable investment recommendations to a customer and procured signed but otherwise blank documents to effect transactions. Department of Enforcement v. Peter Orlando Disciplinary Proceeding No. […]

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