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Investment Misconduct Blog

Selling Away

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

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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

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Kevin Edward Looser Suspended for Allegedly Selling Customers Unapproved Securities in His Firm

Adam J. Marquardt June 6, 2018

On June 4, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) announced it suspended Kevin Edward Looser for from associating with firms registered with FINRA for four months.  FINRA registers and regulates securities brokers and brokerage firms. FINRA said it suspended Looser after investigating him and finding that he participated in fourteen private securities transactions

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

Adam J. Marquardt June 6, 2018

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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Peter Holler, Ex-Securities Service Broker, Suspended for Two Years for Selling Securities of Woodbridge Fund Ponzi Scheme

Adam J. Marquardt May 24, 2018

On May 21, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended Peter Holler from associating with firms registered with FINRA for two years and fined him $10,000.  FINRA—the self-regulator of brokers and brokerage firms—announced the sanction in a Letter of Acceptance, Waiver, and Consent (AWC). FINRA alleged that, between September 2016 and August 2017,

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Brandon Carl Rudolph, Ex-Broker, Barred During Investigation into His Possible Private Securities Transaction

Adam J. Marquardt May 10, 2018

On May 9, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred Brandon Carl Rudolph from associating in any capacity with firms registered with FINRA.  FINRA registers and regulates securities brokers and brokerage firms. FINRA announced the bar in a Letter of Acceptance, Waiver and Consent (AWC).  In the AWC, FINRA said it barred Rudolph

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Stacy E. Cheney-Jamison, Ex-CUNA and IFS Broker, Accused of Theft by Investors

Adam J. Marquardt May 9, 2018

Update: On June 19, 2018, the Securities and Exchange Commission (SEC) filed charges against Christopher Parris and United RL Capital Services, as well as four other individuals and Percipience Global Corporation and First Nationale Solution, accusing them of being involved in a massive Ponzi scheme bilking 637 investors out of $102 million. On May 8,

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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

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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

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