fbpx

Customer Disputes

Allegations of Unsuitability and Misrepresentation for Former Broker Michael Bingham Ballard

According to FINRA public records, former broker Michael Bingham Ballard (Mike Ballard) has seven disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Ballard between May 2014 and January 2018.  Four claims have settled for amounts ranging from $25,000 to $531,120.  One claim

Read More »

Customer Disputes against broker John Stephen Pronovost for Unsuitable Mutual Fund

According to FINRA public records, broker John Stephen Pronovost has four disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Pronovost between March and May 2018.  The claims request damages amounts between $26,044.79 and $150,000.  All claims are pending.  Disputes against Pronovost allege

Read More »

Allegations of Excessive Trading and Unsuitable Investment Recommendation for Merrill Lynch Broker Charles Kenahan

According to FINRA public records, broker Charles Ernest Kenahan has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Kenahan between February 2018 and May 2018.  All claims are pending and allege excessive trading and unsuitable investment recommendations.  The most recent claim

Read More »

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

Read More »

Invest with Holly Marie Maurer or Ernest Romer? The CoreCap Brokers Have Eighteen Combined Pending Customer Disputes

According to FINRA public records, CoreCap Investments broker Holly Marie Maurer has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Holly Maurer’s customers filed the claims between August 2017 and March 2018.  All claims are pending and request damages from $110,000 to $250,000.  The customer claims

Read More »

Customer Disputes for Former Broker Bradley Joseph Tennison

According to FINRA public records, former broker Bradley Joseph Tennison has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Tennison’s most recent customer claim was filed in April 2018.  This claim is pending with a requested damage amount of $300,000.  The customer alleges that Tennison “acted

Read More »

Twelve Customer Disputes against Wells Fargo Broker Regan Rohl

According to FINRA public records, broker Regan Allen Rohl has twelve disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Rohl’s customers filed the claims between May 1999 and February 2018.  The seven most recent claims were filed in 2017 and 2018 and allege unsuitable investments and misrepresentations

Read More »

Customer Disputes Against Broker Alvery Anthony Bartlett Jr. Allege More Than $10 Million in Damages

According to FINRA public records, broker Alvery Anthony Bartlett Jr. has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Bartlett’s customers filed the claims between January 2015 and March 2018.  One claim settled for $25,000.  The other claims are pending and request damage amounts of $3,940,000

Read More »

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

Read More »

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

Read More »

Share Page

Share on twitter
Share on facebook
Share on google
Share on linkedin
Share on email
Share on print

Search MarquardtLawOffice.com

Search Posts by Category

Send message to set up

Recent Posts

Scroll to Top