Ex-El Paso Financial Advisor Allegedly Took Over $61K From Client Credit Line On November 29, 2021, the Financial Industry Regulatory Authority (FINRA) barred Jesus Rodriguez. The former Texas broker was accused of taking over $61K from a client credit line for his own use. The sanction came after he refused…
Financial Independence President & Ex-Dallas, Texas Financial Advisor Was Barred by FINRA Dana Bruce Vietor, a former CFD Investment Services registered representative is under scrutiny following multiple allegations of broker misconduct that have led to customer losses. The latest still pending claims were brought by investors seeking to collectively recover…
FINRA Bars Former Registered Representative Following Probe Into Accusations Bryant Edwin Caveness, an ex-Ameriprise Financial Services stockbroker, has been barred by the Financial Industry Regulatory Authority (FINRA) after he stopped cooperating in the self-regulatory organization (SRO)’s probe into his firing by the firm. According to his Form U5 termination letter,…
FINRA Bars Fired Stifel Broker The Financial Industry Regulatory Authority (FINRA) announced that it has permanently barred former Stifel Nicolaus (SF) stockbroker Steven Dale Rodemer. The brokerage firm fired Rodemer earlier this year following allegations that he took funds from one client’s account without authorization. Even with COVID-19 disrupting every…
Barred Kestra Investment Services Stockbroker Accused of Unauthorized Trading Our investor fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are currently speaking with former customers of ex-Kestra Investment Services broker, James Blake Daughtry. He was recently barred by the Financial Industry Regulatory Authority (FINRA). The self-regulatory organization…
Former First Allied Securities Rep. Accused of Inappropriate REIT Recommendations Our investor lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are looking into claims by clients of former First Allied Securities stockbroker Shlomo Strugano. Strugano was barred by the Financial Industry Regulatory (FINRA) earlier this month. Strugano, also…
Barred Woodbury Financial Services Broker Accused of Misrepresentations and Fraud If you are an investor who lost money while Robert Hayes Hoffman was your financial representative, our broker misconduct lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) would like to talk to you. Hoffman was barred by the…
Lek Securities Accused of Enabling Manipulative Trading The Financial Industry Regulatory Authority (FINRA) and most major US securities exchanges have permanently barred broker Samuel Lek, who is also the former CEO of Lek Securities. Meanwhile, the broker-dealer was fined $900K. The bars by the self-regulatory organization (FSRO), the New York…
Former Pruco Securities Broker Accused of Borrowing Customers’ Money The Financial Industry Regulatory Authority (FINRA) announced that it is barring Joseph Viet Duy Phan, an ex-Pruco Securities broker, after he did not appear at a hearing in the self-regulatory organization’s (SRO) probe into why he was fired by the broker-dealer.…
SSEK Investigating Stephen Klinger, ex-Wells Fargo Advisor Shepherd, Smith, Edwards & Kantas (“SSEK”), a law firm specializing in representing wronged investors, is looking into allegations against ex-broker Stephen Klinger for trading options for a client in his own account. He then proceeded to lose the client’s money. Klinger was fired…