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unauthorized trading

Kennister Daley-Allstate Financial Services Broker- Discloses Pending Customer Dispute Involving Non Traded REIT- Boynton Beach, FL

Kennister Daley-Allstate Financial Services Broker- Discloses Pending Customer Dispute Involving Non Traded REIT- Boynton Beach, FL 150 150 ER

Kennister Daley  Investigation September 2022- Boynton Beach, FL  According to publicly available records,  Kennister U. Daley,  an Allstate Financial Services broker discloses a currently pending customer dispute. The Financial Industry…

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Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Rex Securities Law

Sean Sullivan  Investigation September 2022- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  customer disputes and a termination from employment. The Financial Industry…

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Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ

Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

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J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account

J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account 150 150 Rex Securities Law

J.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…

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Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA

Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA 150 150 ER

Mark Payne Investigation May 2022- Roseville, CA According to publicly available records,  Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…

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Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY

Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY 150 150 ER

Peter J. Klein Investigation April 2022- Melville, NY According to publicly available records,  Peter Klein, a broker with Hightower Securities in Melville, NY,  discloses 3 pending customer complaints. The Financial Industry Regulatory…

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Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO

Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO 150 150 ER

Joel Kichline Investigation April 2022- Frontenac, MO According to publicly available records,  Joel Kichline, a currently unregistered broker who was previously employed with Stifel, Nicolaus & Company  in Frontenac, MO.…

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Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL

Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL 150 150 ER

Faith Read Xenos Investigation April 2022- Coral Gables, FL According to publicly available records,  Faith Read Xenos, a broker with MSEC and Mariner Wealth Advisors in Coral Gables, FL,  discloses a  customer…

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