News Report 12/4/17

Paul Falcon, a financial consultant registered with Aegis Capital Corporation in Boca Raton, Florida, and previously registered with Global Strategic Investments, LLC, appears to be the subject of one or more customer complaints related to allegations that may have involved unsuitable investment recommendations, unauthorized trading, and/or excessive transactions. See FINRA brokercheck. If you are an […]

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News Report 11/29/17

On 11/20/17, Investmentnews.com reported that a retired Morgan Stanley representative was fined for unsuitable investment advice. FINRA fined Timothy Thomas Gibbons $20,000 and suspended him from the securities industry alleging five elderly customers invested high percentages of their portfolio in a single risky energy stock. The five customers ranged in age from age 72 to

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News Report 11/13/17

Leon Rehak, a financial consultant with LPL Financial in Pompano Beach, Florida, and previously with Raymond James & Associates, has had customer complaints including allegations of excessive trading, churning, unauthorized trading breach of fiduciary duty, and other allegations and claims. See FINRA brokercheck. If you are an investor who suffered losses with Rehak, LPL Financial,

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News Report 10/30/17

The New Jersey Bureau of Securities has fined LPL Financial almost $1 million for unsuitable REIT and BDC sales. According to InvestmentNews, LPL Financial allegedly let its brokers sell excessive amounts of alternative investments and failed to supervise its brokers concerning suitability requirements tied to the sale of illiquid alternative investments. New Jersey fined LPL

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News Report 10/20/17

ThinkAdvisor.com reported on 10/20/17 that Massachusetts securities regulators charged a Waltham, Mass. based investment advisor and his firm with allegations of fraudulent and dishonest conduct as well as breaches of fiduciary duty. The underlying issues related to the firm, Moser Capital Management and its raising capital in Moser Capital Fund, LLC and in Moser Capital

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