Broker Negligence

Recovery Options for Nina Sue Jessee Investors

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

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

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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Raul Juan Escudero Villeta Has Nineteen Disclosed Customer Disputes

According to Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker / investment advisor Raul Juan Escudero Villeta (“Raul Escudero”) has nineteen disclosed customers disputes.  FINRA registers and regulates brokers and brokerage firms. Raul Escudero’s customers filed the claims between January 2015 and April 2018.  Five of the claims resulted in collective settlements to customers

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Fifth Third Securities Fined $4 Million for Exchanges of Variable Annuities

On May 8, 2018, the Financial Industry Regulatory Authority (FINRA) announced that it fined Fifth Third Securities, Inc. $4 million.  FINRA, the self-regulator of securities brokerages, levied the fine in connection with its investigation of Fifth Third’s variable annuities exchanges occurring from 2013 through 2015. FINRA also ordered Fifth Third to pay a total amount

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Michael Androulakis, Stockbroker at Alexander Capital, Suspended for Alleged Unsuitable Leveraged ETF Recommendations to Seniors

According to public records, on March 20, 2018, FINRA suspended stockbroker Michael Scott Androulakis from associating with any FINRA member firms for three months.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates stockbrokers and brokerage firms. FINRA announced the sanction in its Letter of Acceptance, Waiver and Consent (AWC).  The AWC alleges Michael Androulakis

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