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Search Results: unauthorized trading
Results 20-30 of about 92
Date: July 29, 2020
Aegis Capital Broker Accused by Investors of Negligence, Unsuitable Investments and Unauthorized Trading
Date: March 25, 2020
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 ...
Date: November 7, 2019
The move comes in the wake of allegations that First Standard and its representatives engaged in improper short-term trading, causing them to illegally make over $28.7M in sales charges and commissions. Meantime, there have reportedly been an increase in customer ...
Date: October 28, 2019
Financial Industry Regulatory Authority (FINRA) has fined former Texas broker Steven Yellen $25K for allegedly making unauthorized trades while he was a registered representative for both Ameriprise (AMP) and Morgan Stanley (MS) .
Date: October 24, 2019
She allegedly made unauthorized trades in the now-deceased Home Shopping Network co-founder, Roy Speer’s, account while he was afflicted with dementia. The self-regulatory authority has now announced that it is barring Forte.
Date: September 30, 2019
He was terminated, in part, due to allegations by his clients that he engaged in unauthorized trading of accounts. FINRA then initiated an investigation in November 2017. The inquiry was based on several complaints from customers. The allegations ran the ...
Date: September 23, 2019
According to FINRA, Boggs has three complaints on his official record all involving unauthorized transfers from client accounts. Merrill wisely sought resolution of these matters and it appears none have actually gone to hearing.
Date: August 20, 2019
According to InvestmentNews , IFS Securities, a broker-dealer based in Atlanta, Georgia, may be facing at least $10M in losses after Keith Wakefield, the firm’s ex-municipal securities principal, allegedly executed unauthorized trades and shorted Treasury bonds. He was fired earlier ...
Date: August 9, 2019
Ex-broker Michael Garris has been suspended for a year after the self-regulatory organization found that he made 26 unauthorized trades in the account of a client who he knew had died. Garris was fired by Wells Fargo over a year ...
Date: June 3, 2019
Former Securities America Broker Is Accused of Unsuitable and Unauthorized Trades Michael Bastardi, an ex- Securities America broker , is barred by the Financial Industry Regulatory Authority (FINRA) after he failed to give the regulator the information it requested for ...
