Investment Fraud Lawyers

robert wolfe complaints Goldman Sachs Cetera

Robert Wolfe Fired By Goldman Sachs Over Client Complaints (Cetera)

Robert Wolfe, a stockbroker previously affiliated at Goldman Sachs Co. LLC, was terminated as a broker based on allegations that he handled client complaints without informing Goldman Sachs Financial Management. Wolfe had been charged with improper customer interactions involving market values and portfolio diversification. He was also accused of resolving client complaints without approval or […]

Robert Wolfe Fired By Goldman Sachs Over Client Complaints (Cetera) Read More »

Center Street Securities Sued By Retirees For Sale of GWG L Bonds

A retired Missouri couple has lodged a six-figure lawsuit versus Center Street Securities regarding losses incurred in GWG Holdings, Inc. (NASDAQ: GWGH). The plaintiffs had entrusted their money to the brokerage company because they were both inexperienced traders with health difficulties. However, Center Street Securities dealer Joe Latour, a licensed investment advisor of the Latour Financial Group, acting

Center Street Securities Sued By Retirees For Sale of GWG L Bonds Read More »

Stone Capital CEO Chadwick Collins Kestra Investment Services

Stone Capital CEO Chadwick Collins Under Probe For Broker Malpractice (Kestra Investment Services)

Individuals that incurred investment losses following investment advice from investment advisor Chadwick Collins (Stone Capital) have been asked to contact California broker misbehavior lawyers at Haselkorn & Thibaut for portfolio review for fraud at 800-856-3352. Collins joined Wedbush Securities after working for Kestra Investment Services as a broker and an investment advisor for Kestra Private

Stone Capital CEO Chadwick Collins Under Probe For Broker Malpractice (Kestra Investment Services) Read More »

BD4RIA and Dempsey Lord Smith Fined by FINRA for GPB Capital Holdings Investments Sales

The count of broker-dealers found guilty of misselling private placements of GPB Capital Holdings continues to rise. BD4RIA Inc., and Dempsey Lord Smith, have been fined by the Financial Industry Regulatory Authority (FINRA) for the same. Actions covered by the ruling pertaining to the spring of 2018. FINRA held that the two broker-dealers were negligent

BD4RIA and Dempsey Lord Smith Fined by FINRA for GPB Capital Holdings Investments Sales Read More »

FINRA Fines National Security Corp Over Pre-IPO Sale

The Financial Industry Regulatory Authority (FINRA) has penalized a brokerage-dealer company regarding its private offerings management. As per a confirmation letter and approval published by the regulatory agency, National Securities Corp (NSC) supposedly sold buyers a pre-initial public offering in a privately owned firm recognized as “Company A” in two different offerings between December 2017

FINRA Fines National Security Corp Over Pre-IPO Sale Read More »