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March 9, 2018

Charles Bernard Lynch, Jr., Former Wells Fargo Broker, Named in Fifty-Six Investor Complaints for Unsuitable Oil and Gas Investment Strategies

According to public records recently published by the Financial Industry Regulatory Authority (FINRA), investors have filed fifty-six separate FINRA arbitration claims against former Wells Fargo broker Charles Bernard Lynch, Jr.  The claims alleged Charles Lynch recommended and misrepresented unsuitable investments to his clients between 2012 and 2017. Fifty-four of the claims were filed between January

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Kenneth S. Tyrrell, Former UBS Broker and Cary Street Partners Broker, Recently Barred by FINRA

According to a recent public notice by the Financial Industry Regulatory Authority (FINRA), Kenneth Stewart Tyrrell (Ken Tyrrell) was barred by FINRA in December 2017. Kenneth Tyrrell’s bar occurred following allegations he sold one of his customers $13 million of private equity and debt securities that his firm did not authorize him to sell.  Allegedly,

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