A FINRA arbitration panel issued a $444,000 securities arbitration award against Woodbury Financial Services as a result of the conduct of one of its registered representatives, “JG” of “G” Wealth Management out of Culver City, CA. Counsel for the Claimant was The Law Office of David Liebrader. The award, issued…
In January, 2016, a three member FINRA arbitration panel issued a $100,000 binding arbitration award against Steelpoint Securities for conduct related to one of their former registered representatives Ron Harrod. The underlying matter involved allegations that Harrod improperly recommended gold and silver and energy investments to one of his customers. …
The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Ron Harrod, a FINRA registered representative formerly with Steelpoint Securities in San Diego, CA. Ron Harrod has been FINRA licensed to sell securities for 58 years, and spent the last…
Robin Wolfgram, a registered representative formerly with Cetera Advisors in Campbell, CA was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Teule Williams, a registered representative formerly with J.P. Morgan Securities in Peachtree City, GA was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction…
Richard Isgrig, a registered representative formerly with Northwestern Mutual of Cincinnati, OH was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Sam Collaku, a registered representative formerly with National Securities in Edison, NJ was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Toby Blackwood, a registered representative formerly with PFS Investments in Oklahoma was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to provide…
Keith Bettex, a registered representative formerly with Pruco Securities in Raleigh, NC was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Ray Aleksey, a registered representative formerly with Wells Fargo in Brooklyn, NY was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…