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Search Results: unauthorized trading
Results 10-20 of about 95
Date: September 19, 2022
Instead, your financial advisor might have unsuitably recommended an investment or trading strategy that was too risky for your risk tolerance level or engaged in unauthorized trading in your brokerage account without your permission.
Date: September 14, 2022
Shepherd, Smith, Edwards, and Kantas Has Been Fighting For Investors for Over 30 Years If you are an investor looking to pursue financial recovery for your investment losses caused by unsuitable investment recommendations, misrepresentations and omissions, unauthorized trading, or other ...
Date: August 16, 2022
New York Broker Allegedly Cost Customers Six-Figure Losses, Trading Costs, and Commissions The Financial Industry Regulatory Authority (FINRA) has suspended Spartan Capital Securities financial advisor James Robert Pecoraro for nine months. FINRA ordered him to pay a $10K penalty and ...
Date: August 7, 2022
They are alleging unauthorized trading, fraud, breach of fiduciary duty, and breach of contract.
Date: December 17, 2021
Ex-Ameriprise Broker James Dunn is Accused of Unsuitability, Unauthorized Trading
Date: November 29, 2021
Ex-Mesa, Arizona Financial Advisor Has Been Named in Multiple Customer Disputes Ex-Raymond James broker, Guilford Ward Nergard, is facing at least one still pending customer dispute in which the claimant is alleging unauthorized trading . ... He was suspended by ...
Date: November 12, 2021
This came in the wake of allegations that he traded in multiple clients’ accounts without written authorization. This included trading in the account of one deceased person.
Date: April 5, 2021
The investor contends that a broker from the firm overconcentrated his IRA and a non-IRA account in CNL Lifestyle Properties, which is an illiquid, privately traded real estate investment trust ( non-traded REIT ). ... Now, the investor is alleging ...
Date: February 17, 2021
Unauthorized Trading and Abuse of Fiduciary Duty By Older Investor’s Grandsons A Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled that JP Morgan Securities (JPM) and its ex-brokers, Avi Elliot Schottenstein and Evan A. Schottenstein, must pay a senior ...
Date: September 9, 2020
Barred Ohio Stockbroker Accused of Over 500 Unsuitable Exchange Traded Fund Transactions Dominic Anthony Tropiano, a former registered broker in Ohio, is now facing US Securities and Exchange Commission (SEC) fraud charges. The regulator contends that Tropiano placed more than ...
