CLIENT NEWS
Investor Alert: Network 1 Financial Securities, Inc.
Network 1 Financial Securities, Inc., fined $200,000 for failing to establish an adequate supervisory system
Gaps Found in FINRA Reporting Requirements for B/Ds
As reported in Bank Investment Consultant By Dave Lindorff. When a broker defrauds investors, or is otherwise sanctioned by the Financial Industry Regulatory Authority, the decision becomes publicly available on FINRA's website through a program called "Broker Check."...
FINRA arbitrator rules against Charles Schwab
..as reported in The Associated Press By Rzl-avv-ajh | AP – Tue, Jul 5, 2011 FORT LAUDERDALE, Fla. - Charles Schwab has been ordered to pay compensatory damages and other costs to a Maryland couple who claimed the brokerage firm advised them to remain invested in a...
Schwab Ordered to Pay Back YieldPlus Investors
Ft. Lauderdale , Fl. - A FINRA Arbitrator has awarded compensatory damages, interest, attorney's fees and costs to a couple who filed an individual claim against Charles Schwab (NASDAQ: SCHW) following YieldPlus Fund investment losses. The Securities Law Firm of...
New York Families Claim Questar Broker Sold Ponzi Scheme as safe
New York, New York -The law firm of Securities Fraud Attorney Mark A. Tepper has filed more claims against Questar Capital for the activities of Edward Phillip Gelb, a broker in its Melville office who allegedly deceived three New York families to invest in JP...
Retiree Claims Broker Promised to Make Him a Millionaire “as long as you don’t bug me”
New York, NY. - The law firm of Securities Fraud Attorney Mark A. Tepper has filed claim against Mutual Service Corporation (MSC) and parent company LPL Financial for allegedly deceiving a Bronx retiree while "recommending and purchasing an interest in a fraudulent...
Twice-Bitten Retiree Takes Wells Fargo To Task
As reported in On Wall Street Magazine By Larry Barrett Before she received a sizeable divorce settlement in 2007, Peggy Boyles was a housewife for 25 years and had never opened any type of investment account on her own. The fact that this $843,272 represented her...
Have A Claim?
Get A Free Case Review.
Send an email to: askmark@marktepper.com
or complete the form below: