Ernest Alexander Harris of Tucson, Arizona, a stockbroker registered with Union Capital Company, was the subject of a customer initiated investment related complaint that was settled on August 18, 2023, for $15,000.00 in damages based upon allegations that Harris made the unsuitable investment recommendation of certain stocks during the time that Harris was associated with…
John Richard Matheis (also known as J. Richard Matheis and as Ric Matheis), of Overland Park, Kansas, a stockbroker formerly registered with Union Capital Company, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to testify in an investigation into his potential sales practice violations…
Gerald James O’Halloran of Punta Gorda, Florida, a stockbroker currently registered with Union Capital Company, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations of O’Halloran’s unsuitable recommendations to the customer concerning business development companies (BDCs) and limited partnerships (LPs)…
Gerald James O’Halloran of Punta Gorda Florida a stockbroker formerly registered with Kovack Securities Inc. is the subject of a customer initiated investment related written complaint which was settled for $24,000.00 in damages on May 29, 2020 based upon allegations that the customer had been placed into unsuitable real estate securities and stocks by O’Halloran…
Kenneth Paul Collins Jr of Tucson Arizona a stockbroker formerly registered with Union Capital Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Collins failed to provide FINRA with a response to its request for Collins’ information. Case No. 2016052044201 (June 20, 2017)….