Category Archives: Neidiger Tucker Bruner

Jeffrey E. Sigman-Former Neidiger Tucker Bruner Broker-Discloses Employment Separation

August 2016-Englewood, CO

The FINRA records of  Jeffrey E. Sigman,  a  stockbroker who currently is not currently registered  disclose 1 prior final customer dispute and a recent  employment separation after allegations.

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.

In July 2016 Sigman was permitted to resign from Neidiger Tucker Bruner. The firm made the following allegations on Sigman’s FINRA record in connection with the separation : “NTB (Neidiger Tucker Bruner) was contacted by FINRA with an inquiry regarding the Outside Business Activities disclosed on Mr. Sigman’s CRD. After initiating an internal review, it became apparent that there were inaccuracies and inconsistencies in Mr. Sigman’s disclosure to NTB. Further documentation was requested and reviewed. It was determined that Mr. Sigman failed to follow the written supervisory procedures of the firm and was permitted to resign.”

Sigman was registered with  Neidiger Tucker Bruner  from 4/2001-7/2016.

 

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

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator

Englewood, CO

The FINRA records of  Steven Ray Hinkle,  a  stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event.

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.

In FINRA Case 2014038969301, Hinkle consented to sanctions and the entry of findings that he failed to establish, maintain, and enforce an adequate supervisory system to review trades for excessive and unsuitable trading. The findings state that he failed to reasonably supervise a broker despite being aware of several red flags that should have resulted in enhanced scrutiny and supervision of the broker, exposing customers to losses due to excessive trading or other sales practice violations. Hinkle was suspended for 20 days and fined $10,000.

Hinkle has been registered with  since 1/2016. Prior to that he was registered with Dynasty Capital Partners in Greenwood Village, CO. from 1/2003-7/2015.

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