If you experienced losses while investing with Nina Sue Jessee of Abingdon, Virginia, receive a free consultation about your recovery options by calling Marquardt Law Office LLC at (312) 945-6065. Marquart Law Office LLC is pursuing a case to seek a recovery of investment losses allegedly caused by Nina Sue Jessee while she was registered
According to FINRA public records, former broker Michael Bingham Ballard (Mike Ballard) has seven disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Ballard between May 2014 and January 2018. Four claims have settled for amounts ranging from $25,000 to $531,120. One claim
According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker Noel Ray Vincent has fourteen disclosed customer disputes. FINRA registers and regulates brokers and brokerage firms. While five claims filed between 2008 and 2010 were denied, four claims filed between April 2013 and April 2017 settled for collective recoveries to his customers of
On May 2, 2018, the North American Securities Administrators Association (NASAA)—the association of state, Canada, Mexico, and U.S. territory securities regulators—announced a settlement with LPL Financial LLC. The settlement between the NASAA and LPL requires LPL to offer to repurchase certain unregistered securities it sold investors since October 2006 and to pay civil penalties that
On April 18, 2018, FINRA announced it suspended Walter Parker from associating with firms registered with FINRA for one month. 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 suspended Walter Parker for violating NASD Rule 2310 and
On April 13, 2018, FINRA announced it barred securities broker Steven Pagartanis 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 Steven Pagartanis for declining to provide sworn testimony during
On March 22, 2018, the Securities and Exchange Commission (“SEC”) announced it settled fraud charges against the operators of the Alaska Financial Company III, LLC (“AFC III”) real estate fund that was allegedly used to bilk millions of dollars from investors. AFC III is operated by Tobias Preston, his brother, Charles Preston, and his son,
