Unauthorized Trading Archives - Marquardt Law Office

Unauthorized Trading

Customer Disputes against Former Broker Brandon Curt Stimpson

Adam J. Marquardt August 31, 2018

According to FINRA public records, former Logan, Utah based broker Brandon Curt Stimpson has eight disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the claims against Stimpson or his firm, Allegis Investment Advisors, between August 2015 and December 2017. Customers alleged Stimpson engaged in misconduct

Customer Disputes against Former Broker Frederick Mueller Allege Unsuitable Investments and Unauthorized Trades

Adam J. Marquardt July 26, 2018

According to FINRA public records, former broker Frederick August Mueller Jr. has six disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Mueller between July 2012 and February 2018. Two claims have settled for $30,000 and $330,000. One claim was closed with no

Joseph Devlin Coleman Has Fifteen Disclosed Customer Disputes

Adam J. Marquardt June 9, 2018

According to the Financial Industry Regulatory Authority, Inc.’s (FINRA) public records, investment advisor and former broker Joseph Devlin Coleman has fifteen disclosed customer disputes. FINRA registers and regulates brokers and brokerage firms. Joseph Coleman’s customers filed the claims between February 2001 and January 2018. Ten of the claims settled in amounts ranging from $15,000 to

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

Adam J. Marquardt June 5, 2018

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.

Customers of Kevin Yang, Ex-Morgan Stanley Broker, May Have Options to Recover Losses

Adam J. Marquardt May 27, 2018

Kevin Yang’s customers may have options to recover losses suffered while investing with the former Morgan Stanley securities broker and investment advisor. Yang has been the subject of recent regulatory sanctions and customer arbitration claims. On March 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended and fined Yang after finding he placed unauthorized

Ron Jason Ison’s Former Clients May Still Have Options to Recover Investment Losses

Adam J. Marquardt May 26, 2018

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with Ron Jason Ison. On April 13, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former Buckman, Buckman & Reid, Inc. broker from associating with firms registered with FINRA. FINRA registers and regulates securities brokers and brokerage firms.

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,

Herbert Voss, Jr. Barred During Unauthorized Trading Investigation

Adam J. Marquardt May 23, 2018

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with Herbert Voss, Jr. On May 23, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the Stockcross Financial Services, Inc. broker and investment advisor from associating with firms registered with FINRA in any capacity. FINRA registers and regulates brokers

Pavel Shklyar’s Former Clients May Still Have Options to Recover Investment Losses

Adam J. Marquardt May 23, 2018

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with Ron Jason Ison. On February 28, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former J.P. Morgan Securities LLC broker from associating with firms registered with FINRA. FINRA registers and regulates securities brokers and brokerage firms. In

Michael P. Spolar, Ex-Broker, Has Ten Customer Complaints and Was Recently Denied Ohio License

Adam J. Marquardt May 17, 2018

On March 29, 2018, the State of Ohio Division of Securities denied an application for a securities license to former LPL Financial LLC and International Assets Advisory LLC broker, Michael P. Spolar. The decision comes in the wake of ten customer claims accusing Spolar of misconduct, two broker-dealers discharging him, and a securities regulator suspending

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