Financial Advisor Fraud Archives – Page 490 Of 492

Janney Montgomery Scott Claims Investigated For Churning High-Fee Mutual Funds

William Galvin, Secretary of the Commonwealth in Massachusetts, has charged Janney Montgomery Scott claims with high trading activities and churning high-fee mutual funds in a complaint that was filed on the 7th of May 2019. In the complaint, a former representative of Janney, Stephen Querzoli, from June 2012 to November 2018, he was selling Class […]

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Dawson James Securities

Dawson James Securities is based in Boca Raton, Florida. As a broker-dealer registered with the Financial Industry Regulatory Authority (FINRA), Dawson James Securities is required to adopt and implement written supervisory procedures designed to ensure that it is properly and reasonably supervising its financial advisors. In the past, Dawson James Securities has been censured and

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Barry Garapedian Morgan Stanley – Investment Fraud Investigation

Barry Garapedian (CRD #1039251) is registered as a broker with Morgan Stanley (CRD #149777) located in Westlake Village, California. He started working in 1982 and joined Morgan Stanly in 2009. Before that time, he has worked with Citigroup Global Markets (CRD #7059), E.F. Hutton & Company (CRD #235) and Lehman Brothers (CRD #7506). Cases of

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LPL Financial Complaints Investigation: Jim Booth Barred

The Financial Industry Regulatory Authority Inc. (FINRA) has barred Jim Booth from LPL Financial who cheated clients out of more than $1 million for a period of five years. Haselkorn & Thibaut, investment fraud lawyers, have begun a formal investigation into Mr. Booth and are following several other LPL Financial complaints. Booth was a former

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GPB Capital Share Price Loss Shocks Investors

The GPB Capital share price saga continues to get worse for investors. The most recent announcement from GPB Capital is that its two largest investment funds (GPB Holdings II and GPB Automotive Portfolio) are now reporting substantial declines in the value of 25.4% and 39%, respectively. GPB Capital Investigations Given what has transpired over the

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