Tag: FINRA complaint
How to File a Complaint against your Broker
If you have a Dispute with your Broker Whether you realized it at the time or not, when you established your brokerage account, you likely...
Luke Johnson Barred by FINRA after Allegations of Unsuitable Investments
FINRA Bars Luke Johnson after 26 Customer complaints Are you concerned about investing with Luke Johnson in Scottsdale, AZ? If so, the...
Eugene Kim Allegedly Defrauded Investors
FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory...
FINRA Investigates Long Island firm David Lerner & Associates
According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...
Penson Financial Services and Pinnacle Capital Markets fined by FINRA.
In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...
