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Search Results: unauthorized trading
Results 10-20 of about 96
Date: August 22, 2023
Fired Oppenheimer Broker Zachary Taylor Under Scrutiny Following Unauthorized Trading Allegations Our Skilled California Broker Negligence Attorneys Are Investigating Investor Losses Involving This Newport Beach Financial Advisor If you suffered significant losses while working with former Oppenheimer stockbroker Zachary Ellis ...
Date: June 5, 2023
The move comes following multiple allegations by his clients that he engaged in unsuitable investment recommendations and unauthorized trading. Continue Reading ›
Date: May 15, 2023
On May 1, 2023 Massachusetts Secretary of the Commonwealth William Galvin ordered the brokerage firm to pay a $2.5M penalty and over $700K in restitution after finding that it disregarded red flags indicating that Crespi was allegedly engaging in unauthorized ...
Date: November 21, 2022
Turley, who was the financial advisor in at least nine recently filed customer complaints alleging unauthorized and excessive trading, has consented to the bar. Turley’s former clients are claiming that they suffered over $100 million in investment losses.
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. You also may have been the ...
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.
Date: August 7, 2022
They are alleging unauthorized trading, fraud, breach of fiduciary duty, and breach of contract. Financial Resources Group and LPL were both ordered to pay over $1.6M in compensatory damages and nearly $850K in the claimants’ legal fees. Arbitrators have recommended ...
Date: December 17, 2021
Ex-Ameriprise Broker James Dunn is Accused of Unsuitability, Unauthorized Trading
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.
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