Tag Archives: Broker

Cetera Fined $1.4M For Churning Broker

You may have heard the term “churning” in discussions of investments and securities. But you probably won’t know what it means unless you’ve actually experienced it. (Hint: it has nothing to do with butter.) “Churning” is when a broker and/or … Continue reading

Posted in Securities Law | Tagged , , , , | Leave a comment

IMPOSTOR BROKER WEBSITES—BEWARE—FINRA ISSUES WARNING ABOUT FAKE BROKER WEBSITES !

On May 3, 2019 FINRA (The Financial Industry Regulatory Authority) published a Notice and Warning to member firms concerning fraudulent imposter broker websites, designed to fool investors into transmitting funds to thieves. Anthony M. Abraham, Esq., PC has been involved … Continue reading

Posted in Securities Law | Tagged , | Leave a comment

Hilltop Securities Broker Mark Augusta Subject to 19 Customer Complaints

According to BrokerCheck records financial advisor Mark Augusta (Augusta), currently employed by Hilltop Securities, Inc. (Hilltop Securities) has been subject to at least an astonishing 19 customer complaints and one employment termination for cause.  According to records kept by The … Continue reading

Posted in Securities Law | Tagged , , , , , , , | Leave a comment

Broker Jesse Krapf Has A Customer Complaint

According to BrokerCheck records financial advisor Jesse Krapf (Krapf), currently employed by Benchmark Investments, Inc. (Benchmark Investments) has been subject to at least one customer complaint and two debt related judgements or tax liens.  According to records kept by The … Continue reading

Posted in Securities Law | Tagged , , , , | Leave a comment

Morgan Stanley Broker Barry Speyer Subject to Multiple Customer Investment Complaints

According to BrokerCheck records financial advisor Barry Speyer (Speyer), currently employed by Morgan Stanley has been subject to at least seven customer complaints and one regulatory action.  According to records kept by The Financial Industry Regulatory Authority (FINRA), most of … Continue reading

Posted in Securities Law | Tagged , , , , , , , , , | Leave a comment