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Posts tagged "Negligent Supervision"

Jason Figueroa and The GMS Group, LLC. - ETFs - Proshares Ultra S&P, Proshares Ultrashort S&P 500 and Barclay's Ipath S&P 500 VIX Short Term Futures ETN Unsuitable FINRA Arbitration Attorney

Jason Figueroa and The GMS Group, LLC. - Unsuitable ETFs - Proshares Ultra S&P, Proshares Ultrashort S&P 500, Direxion ETF Daily Gold Miners Bull 3X shares, Credit Suisse Velocity Shares Inverse VIX ETN and Barclay's Ipath S&P 500 VIX Short Term Futures ETN FINRA Arbitration Attorney:

Recently the Financial Industry Regulatory Authority (FINRA) announced that Jason L. Figueroa entered into an Acceptance, Waiver and Consent (AWC) whereby Mr. Figueroa was barred from associating with any FINRA member in any capacity.

H.D. Vest Investment Securities - South Florida Customer Protection and Negligent Supervision FINRA Arbitration and Litigation Attorney

South Florida Customer Protection and Negligent Supervision FINRA Arbitration and Litigation Attorney:

SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules:

HLM Securities and Terrance Hennessy - Boca Raton, Florida Unapproved Outside Business Activity and Negligent Supervision FINRA Arbitration and Litigation Attorney

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Hugh Robert Hunsinger, Jr. - South Florida Broker/Dealer and Account Executive Elder Financial Abuse and Exploitation, Theft, Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer and Account Executive Elder, Senior and Retirement Financial Abuse and Exploitation, Negligent Supervision, Breach of Fiduciary and Theft FINRA Arbitration, Litigation and Probate Attorney:

Alejandra Gandara - Florida Unapproved Outside Business Activity and Account Executive Negligent Supervision FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney:

Randall Lee Freeze - South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Forgery FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Forgery FINRA Arbitration and Litigation Attorney:

Donald Richard Dahn - Florida Financial Abuse, Misappropriation and Unauthorized Loan FINRA Arbitration and Litigation Attorney

Florida Broker/Dealer and Account Executive Negligent Supervision and Account Executive Financial Misappropriation, Unauthorized Loan and Elder Abuse FINRA Arbitration, Litigation and Probate Estate Attorney.

Timothy John Coyle - South Florida Forgery and Unauthorized Activity FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer and Account Executive Negligent Supervision, Forgery and Unauthorized Activity FINRA Arbitration, Litigation and Probate Estate Attorney.

South Florida Oil and Gas Suitability, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

South Florida Oil and Gas Suitability, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney. 

South Florida Broker/Dealer and/or Account Executive Negligent Supervision, Selling Away and Unapproved Outside Business Activity FINRA Arbitration, Litigation and Probate Estate Attorney

South Florida Broker/Dealer and/or Account Executive Negligent Supervision, Selling Away and Unapproved Outside Business Activity FINRA Arbitration, Litigation and Probate Estate Attorney.

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