Category Archives: Andrew Garrett Inc.

Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY

May 2017-Hawthorne, NY

The FINRA records of  Craig S. Forster  ,  a  stockbroker who is currently  registered with Woodstock Financial Group  disclose 9 prior customer disputes .

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

The prior customer disputes include:

  • In 11/2016 a customer of his prior employers Andrew Garrett and Oppenheimer was paid $165,000 to resolve allegations that Forster made unsuitable investments and breached his fiduciary duty.
  • In 11/2016 a customer of Oppenheimer was paid $250,000 to resolve allegations that Forster engaged in unsuitable and unauthorized transactions in order to generate commissions and that he was no licensed in the state where the customer resides. Subject investments include oil & gas, real estate securities, mutual funds and debt-municipal.
  • In 9/2015 a customer of Oppenheimer was paid $160,000 to resolve allegations that Forster made unsuitable recommendations and made excessive trades in her account from 11/2011-11/2014.

Craig S. Forster  has been employed by Woodstock Financial Group since 7/2016. He was employed by Andrew Garrett  from 4/2015-8/2016, Clark Dodge & Co. from 1/2015-4/2015 and Oppenheimer 10/2011-2/2015.

If you have questions about an account  handled by Craig S. Forster  , contact us to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Pamela Wooten-Former Andrew Garrett Broker- Barred by FINRA

 

 Pamela Anne Wooten (CRD #1313028, Registered Principal, Beaufort, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Wooten consented to the described sanction and to the entry of findings that she failed to appear for investigative on-the-record testimony to obtain information concerning certain transactions she executed between her member firm and one of its customers. The findings stated that Wooten’s counsel acknowledged receipt of the request; and Wooten, through her counsel, informed FINRA that she would not appear for testimony. ( FINRA Case #2011029679501)

According to FINRA records, Wooten was registered with Andrew Garrett, Inc. 10/2002-8/2012.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Andrew Garrett Broker Pamela Wooten Barred by FINRA

By Robert H. Rex, Esq. 

 Pamela Anne Wooten (CRD #1313028, Registered Principal, Beaufort, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Wooten consented to the described sanction and to the entry of findings that she failed to appear for investigative on-the-record testimony to obtain information concerning certain transactions she executed between her member firm and one of its customers. The findings stated that Wooten’s counsel acknowledged receipt of the request; and Wooten, through her counsel, informed FINRA that she would not appear for testimony. ( FINRA Case #2011029679501)

According to FINRA records, Wooten was registered with Andrew Garrett, Inc. 10/2002-8/2012. 

If you have questions about the way your brokerage account has been handled, call to speak with an experienced securities attorney. 

Nationwide representation


561 391 1900

Harold DePrill-Former Andrew Garrett Broker -Subject of Customer Arbitration-Sumter, SC

Johns Island/Sumter , South Carolina

JUNE 2017 UPDATE-Former stockbroker Harold L Deprill, Jr.  discloses that in FINRA arbitration #17-0083 a customer of Andrew Garrett alleges damages in an unstated amount for fraud in violation of section 10(b) and rule 10b-5 of the Securities Exchange Act of 1934 for overcharges on securities transactions.

ORIGINAL POST-May 2014

 Harold Lavern DePrill Jr. (CRD #1302318, Registered Principal, Johns Island, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, DePrill consented to the described sanction and to the entry of findings that he failed to appear for FINRA-requested testimony. FINRA requested his appearance in order to obtain information concerning certain transactions executed between Andrew Garrett and one its customers.  DePrill’s counsel acknowledged receipt of the request and informed FINRA that DePrill would not appear for testimony. ( FINRA Case #2011029679502)

DePrill was registered with Andrew Garrett, Inc. from 11/2002-10/2012. DePrill was employed by National Bank of South Carolina from 1970-2012 where he held the position of Senior Vice President.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870