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Investment Misconduct Blog

August 31, 2018

Customer Disputes against Former Broker Brandon Curt Stimpson

Adam J. Marquardt August 31, 2018

According to FINRA public records, former Logan, Utah based broker Brandon Curt Stimpson has eight disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the claims against Stimpson or his firm, Allegis Investment Advisors, between August 2015 and December 2017.  Customers alleged Stimpson engaged in misconduct

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Settled Claims Implicating Ex-Broker John Greg Schmidt Exceed $1.7 Million

Adam J. Marquardt August 31, 2018

According to FINRA public records, former Dayton, Ohio based broker John Greg Schmidt (Greg Schmidt or John Gregory Schmidt) has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms.  Wells Fargo discharged Schmidt in November 2017. Between October 2007 and January 2018, customers filed private arbitration claims

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Invest with Brian Royster? Two of the Barred Broker’s Customers Recently Settled Claims.

Adam J. Marquardt August 31, 2018

According to FINRA public records, barred broker Brian Lamont Royster (Brian Royster) has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Between October 2013 and January 2018, customers filed disputes seeking damages for Brian Royster’s alleged misconduct.  Allegations include he recommended and misrepresented annuities that were

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