fbpx

Investment Misconduct Blog

Options

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

Read More »

Matthew Singer, former Morgan Stanley Broker, Barred by FINRA for Alleged Failure to Cooperate with Investigation into Possible Unsuitable Options Trading

Adam J. Marquardt March 27, 2018

On March 27, 2018, FINRA announced it barred securities broker Matthew Singer from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Matthew Singer for declining to provide sworn testimony in

Read More »

Share Page

Share on twitter
Share on facebook
Share on linkedin
Share on email
Share on print

Search MarquardtLawOffice.com

Search Posts by Category

Send message to set up free consultation.

Recent Posts

CONTACT
Scroll to Top