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Search Results: unauthorized trading
Results 10-20 of about 92
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.
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 ). This caused him to lose a ...
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.
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.
Date: August 17, 2020
The bar comes after he refused to cooperate in the self-regulatory organization’s (SRO’s) probe that was opened in the wake of several people accusing him of unauthorized trading and making unsuitable investment recommendations. Bennett also is no longer a registered ...
