Tag Archives: Customer

Variation on the bank-customer arbitration theme: Customer doesn't get to require Amegy Bank to arbitrate

WHEN THE LITTLE GUY WANTS TO TAKE THE BIG GUY TO ARBITRATION  Here is another rare case where an individual wanted to arbitrate a dispute with a business — rather than the reverse — and was thwarted in his quest: Carter … Continue reading

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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

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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

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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

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FINRA Issues New Guidance Regarding Customer Communications Relating to Departing Registered Representatives

As recognized by new guidance from the Financial Industry Regulatory Authority (FINRA), the departure of a registered representative often prompts customer questions about the departing representative and the continued servicing of a customer’s account. In light of the continued frequency … Continue reading

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