Michael Gerard Tate (also known as Mike Tate) of San Mateo, California, a stockbroker formerly registered with Securian Financial Services Inc., is the subject of a customer initiated investment related FINRA arbitration claim which was settled for $37,500.00 in damages supported by accusations of Tate making an unsuitable sale of a variable annuity to the…
Sheldon Robert Bender (also known as Shelly R. Bender) of Deerfield Illinois a stockbroker formerly registered with Securian Financial Services is referenced in a customer initiated investment related written complaint on November 24, 2020 in which the customer sought $15,000.00 in damages founded on allegations of inappropriate advice by Bender as it pertained to the…
Vincent Bruce Waln of West Chester Ohio a stockbroker formerly employed by Securian Financial Services Inc. is referenced in a customer initiated investment related written complaint on December 13, 2017 where the customer sought damages estimated to exceed $5,000.00 based upon accusations that Waln made misrepresentations to the customer concerning the terms and conditions of…
Patrick Dennis Farrell of Huntingdon Valley Pennsylvania a stockbroker formerly registered with Securian Financial Services Inc. is the subject of a customer initiated investment related written complaint which settled for $146,677.22 on January 2, 2018 founded on allegations that Farrell misrepresented the terms and conditions of insurance and annuity products that had been sold to…
Lance David Rubachko, of Newport Beach, California, a stockbroker formerly registered with Securian Financial Services, Inc., is the subject of a customer initiated investment related written complaint on July 6, 2017, wherein the customer requested more than $5,000.00 in damages based upon allegations that Rubachko made investment misrepresentations to the customer and also misled the…
James Patrick McCloskey, of Newport Beach, California, a stockbroker currently registered with Securian Financial Services, Inc., is the subject of a customer initiated investment related civil action on May 4, 2017, in which the customer requested $397,237.00 in damages based upon allegations that McCloskey made misrepresentations to the customer concerning insurance products that the customer…