Legend Securities Archives - Marquardt Law Office

Legend Securities

Jason Harris Klabal’s Former Customers May Still Have Options to Recover Losses

Adam J. Marquardt May 7, 2018

On February 12, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) permanently barred Jason Harris Klabal from associating in any capacity with FINRA member firms. FINRA registers and regulates brokers and brokerage firms. Previously, FINRA suspended Klabal on December 4, 2017 for alleged misconduct. FINRA said it permanently barred Klabal after he failed to request

Michael Androulakis, Stockbroker at Alexander Capital, Suspended for Alleged Unsuitable Leveraged ETF Recommendations to Seniors

Adam J. Marquardt March 21, 2018

According to public records, on March 20, 2018, FINRA suspended stockbroker Michael Scott Androulakis from associating with any FINRA member firms for three months. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates stockbrokers and brokerage firms. FINRA announced the sanction in its Letter of Acceptance, Waiver and Consent (AWC). The AWC alleges Michael Androulakis

Investment Misconduct Blog