Failure to Supervise

Customer Disputes Allege Unpaid Loans by Barred Broker Gregory Levine

According to FINRA public records, former broker Gregory Alan Levine (Greg Alan Levine) has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Levine between June 2015 and March 2018.  All claims have settled for payouts ranging from $2,589 to $155,000. The

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Nina Sue Jessee Has Twenty Disclosed Customer Disputes

Update: Marquardt Law Office is pursuing a case to recover investment losses allegedly caused by Nina Sue Jessee. According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, Nina Sue Jessee has Twenty disclosed customer disputes.  FINRA registers and regulates brokers and brokerage firms. While a claim from 2002 closed with no action and

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Noel Ray Vincent Has Fourteen Disclosed Customer Disputes

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

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Scott Lindsay Reed Has Nine Disclosed Customer Disputes

According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker Scott Lindsay Reed has nine disclosed customer disputes.  FINRA registers and regulates brokers and brokerage firms. Scott Reed’s customers filed the claims between May 2017 and April 2018.  All claims are pending.  The requested damage amounts range from $268,000 to $1,681,430.  Claims allege

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Bradley Everett Gardner, Ex-LPL Broker, Accused of Theft by FINRA

On June 5, 2018, FINRA announced that it permanently barred former securities broker Bradley Everett Gardner from associating with firms registered with FINRA in any capacity.  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 Gardner after

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John Douglas Wade, Ex-U.S. Bankcorp Broker, Accused of Theft by Securities Regulator

On May 23, 2018, FINRA announced that it permanently barred former securities broker John Douglas Wade from associating with firms registered with FINRA in any capacity.  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 Wade  because

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Christopher Todd Wendel, Ex SA Stone Broker, Barred During Investigation of Sales of Ponzi Investment

On June 1, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) permanently barred Christopher Todd Wendel from associating with firms registered with FINRA.  FINRA registers and regulates stockbrokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Wendel because he engaged in unapproved private securities sales and gave

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James Lyons’s Former Clients May Still Have Options to Recover Investment Losses

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with James Edward Lyons.  On June 4, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former Raymond James and Morgan Keegan broker from associating with firms registered with FINRA.  FINRA registers and regulates securities brokers and brokerage firms.

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Windsor Street Capital Accused by Regulator of Facilitating Fraud

On May 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) publicly released a complaint that it filed against Windsor Street Capital, LP (formerly known as Meyers Associates, L.P.) and four of its registered representatives.  FINRA registers and regulates brokers and brokerage firms. The complaint names Windsor and its associated persons Bruce Meyers, Imitaz (Raana)

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