Outside Business Activities Archives

Outside Business Activities

Alex G. Herrera Former Clients May Still Have Options to Recover Investment Losses

Adam J. Marquardt August 20, 2018

Marquardt Law Office LLC is interested in speaking with individuals who lost money while investing with Alex G. Herrera. On August 8, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former UBS securities broker and investment adviser from associating with firms registered with FINRA. FINRA registers and regulates brokers and brokerage firms. In

Customer Disputes Allege Unpaid Loans by Barred Broker Gregory Levine

Adam J. Marquardt July 6, 2018

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

Mark Gregory Raezer, Ex-Taylor Capital Broker, Suspended for Selling Away

Adam J. Marquardt May 3, 2018

A Colorado Department of Regulatory Agencies (DORA) press release announced the state’s Division of Securities suspended Mark Gregory Raezer on January 31, 2018 for allegedly soliciting and selling unregistered securities of a company used to defraud at least 78 Colorado residents. At the time he sold the investments, Raezer was registered with brokerage firm Taylor

You May Be Able to Recover Losses Suffered While Investing with Dawn Bennett or Bradely Mascho

Adam J. Marquardt April 28, 2018

Dawn Bennett and Bradley Mascho, two ex-Western International Securities, Inc. brokers, have been accused in regulatory, criminal, and customer complaints of fraud and other misconduct causing investors millions in losses. Several of their former clients have recovered losses in arbitration claims, and others may still have claims. The latest regulatory action occurred in January 2018

Kenneth S. Tyrrell, Former UBS Broker and Cary Street Partners Broker, Recently Barred by FINRA

Adam J. Marquardt March 9, 2018

According to a recent public notice by the Financial Industry Regulatory Authority (FINRA), Kenneth Stewart Tyrrell (Ken Tyrrell) was barred by FINRA in December 2017. Kenneth Tyrrell’s bar occurred following allegations he sold one of his customers $13 million of private equity and debt securities that his firm did not authorize him to sell. Allegedly,

Investment Misconduct Blog