• Glenn Robert King—Excessive Trading of Customer Accounts

    Glenn Robert King Allegedly Engaged in Excessive Trading of Customer Accounts and Exercised Discretion in Customer Accounts without Written Consent or Approval Glenn Robert King allegedly engaged in excessive trading of customer accounts and exercised discretion in customer accounts without written consent or approval, according to a Complaint from FINRA’s Department of Enforcement currently unde.

    Alan Rosca/ Investment Fraud Lawyers- 13 readers -
  • Mark Koehler—Unsuitable Trading

    Mark Charles Koehler Allegedly Engaged in Unsuitable Trading, Including Short-term Mutual Fund Switching and Excessive Trading in Customer Accounts; Koehler also Allegedly Placed Undue Influence before a Customer’s Death Mark Koehler allegedly engaged in unsuitable trading, including short-term mutual fund switching and excessive trading in customer accounts, according to a recent Letter of Accep.

    Alan Rosca/ Investment Fraud Lawyers- 16 readers -
    Earlier about the same topic:
  • Jason LeBlanc—Outside Business Activities

    Jason H. LeBlanc Allegedly Failed to Disclose Several Outside Business Activities to Girard Securities, Inc. and Provided Inaccurate Information about an Outside Business Activity to the Firm Jason LeBlanc, between January 2012 and September 2015, allegedly failed to disclose several outside business activities to Girard Securities, Inc.

    Alan Rosca/ Investment Fraud Lawyers- 18 readers -
  • Lona Nanna – Outside Business Activities

    Lona M. Nanna Allegedly Knew about Outside Business Activities Engaged in by Robert Lawson; Nanna Allegedly Failed to Make Timely Updates to Lawson’s Securities Industry Registration Form Lona Nanna, from 2009 through 2016, allegedly knew about outside business activities engaged in by Robert Lawson, the CEO of Lawson Financial Corporation’s (LFC), according to a Complaint from ...

    Alan Rosca/ Investment Fraud Lawyers- 14 readers -
  • Christopher Hickman– Unsuitable Pattern of Short-term Trading

    Christopher R. Hickman Allegedly Engaged in an Unsuitable Pattern of Short-term Trading of UIT’s in Six Customer Accounts; Hickman’s Clients Allegedly Lost Approximately $115,989.75 Christopher Hickman, of Delray Beach, Florida and a former advisor at Cetera Advisors, allegedly engaged in a pattern of unsuitable short-term trading of UIT’s in six customer accounts with purported ...

    Alan Rosca/ Investment Fraud Lawyers- 10 readers -
  • Heidi Heiser & CenturyLink Inc.– Culture of High-Pressure Sales

    Heidi Heiser Allegedly Lost Her Job at CenturyLink after during the Process of a Companywide Question-and-answer Session on an Internal Message Board; Heiser, a Former Customer Service and Sales Agent for CenturyLink from August 2015 to October 2016, Alleges a High-Pressure Sales Culture at CenturyLink Inc. Heidi Heiser was terminated from CenturyLink Inc.

    Alan Rosca/ Investment Fraud Lawyers- 13 readers -

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