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https://www.securities-law-attorney.com/james-lamont/
Jun 21, 2018 · The complaint settled for $160,000. In 2013 a customer alleged he, while employed at Sammons Securities Company, misrepresented and omitted material facts, committed fraud, breached his fiduciary duty, and failed to perform adequate due diligence on a tenant-in-common investment. The complaint settled for $99,000.
https://www.securitieslawattorneys.net/david-hays/
Oct 11, 2016 · The complaint settled for $17,500. In 2013 a customer alleged David Hays, while employed at Sammons Securities, misrepresented material facts, breached his fiduciary duty, acted negligently, and failed to supervise. The customer is seeking $110,000 in damages in …
https://www.securitieslawattorneys.net/category/uncategorized/page/5/
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Florida-based BB&T Securities broker/adviser Anthony Mazzo has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have ...
https://www.stopbrokerfraud.com/news/daniel-mcpherson/
Sep 14, 2015 · In 2013 a customer alleged Daniel McPherson, while employed at Sammons Securities Company, misrepresented and unsuitably recommended illiquid investments in equipment leasing, oil and gas, and tenant-in-common interests. The complaint settled in 2015 for $1,000,000.
https://www.finra.org/sites/default/files/fda_documents/2010023443402_FDA_KC7X2321.pdf
11. WAIVER OF PROCEDURAL RIGHTS Sammons andspecifically voluntarily waives the followingrights granted under FINRA's Code of Procedure: A. Tohave Complainta issued specifying the allegations against Sammons; B. To be notified of the Complaint and have the opportunity to answer the allegations in writing; C. To allegationsdefend inagainst the a disciplinary hearing before a hearing panel,
https://www.stopbrokerfraud.com/news/eric-wegner-3/
Apr 24, 2017 · The complaint settled for $49,000. In 2013 a customer alleged, while employed at Sammons Securities Company, Eric Wegner misrepresented material facts acted negligently, omitted material facts, and breached his fiduciary duty, in connection to investments in tenant-in-common (TIC) securities. The complaint settled for $250,000.
https://www.securitiesamerica.com/images/uploads_users/transition/Sammons_0317.pdf
CONTRACTING CHECKLIST This checklist is intended to provide you with a list of steps to help have a successful appointment with Sammons Retirement Solutions. Follow these easy steps to get an agent contracted: Complete an Agent/Representative Data Form in its entirety.
https://www.forbes.com/sites/billsinger/2012/06/19/forex-private-securities-transactions-earn-stockbroker-fine-and-suspension/
Jun 19, 2012 · FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension . ... with Sammons Securities Company LLC from January 16, 2009 to January 1 …Author: Bill Singer
https://www.securitieslawyersblog.com/finra-sanctions-sammons-securities-company-host-supervisory-failures-part/
Dec 25, 2014 · The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Sammons Securities — December 25, 2014 — FINRA Sanctions Sammons Securities Company Over Host of Supervisory Failures Part I
https://blog.rexsecuritieslaw.com/
February 2010-Hurst, TX. According to publicly available records of Kerry D. Wills (CRD#1353739) , a stockbroker employed with First Western Securities, Inc., discloses a regulatory event resulting in a suspension and a civil fine.. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.
http://sigmafinancial.com/
With a commitment to personal service, Sigma Financial Corporation partners with financial advisors looking to grow their practices.
https://www.investorlawyers.net/blog/customers-file-complaints-against-broker-eric-wegner-over-tenant-in-common-investments/
The complaint was settled for $250,000. In a complaint filed in 2015 a customer made similar allegations against Wegner in connection with investments in real estate securities. The customer seeks $250,000 in damages in a pending complaint. Investments in TICs tend to be inappropriate investments for individuals with moderate risk tolerance.
https://www.sos.mo.gov/securities/orders/
Securities Compliance Department, Conrad Shore, Robert James, and John Phoenix Order to Cease and Desist and Order Awarding Civil Penalties and Costs of Investigation AP-05-29
https://www.securitieslawyersblog.com/category/failure-to-supervise/page/6/
Mar 04, 2015 · This post continues our exploration of the Financial Industry Regulatory Authority’s (FINRA) acceptance, waiver, and consent action (AWC) that sanctioned brokerage firm Sammons Securities Company, LLC (Sammons) over allegations that Sammons failed to establish and maintain a system of supervision to comply with the securities laws.
https://www.investmentnews.com/utahs-top-securities-cop-steps-down-14081
Jan 12, 2010 · Mr. Bird, an insurance agent as well as a representative affiliated with Sammons Securities Co. LLC of Sioux Falls, S.D., said he is “absolutely concerned” about the matter of …
https://www.finra.org/investors/alerts/beware-fake-check-scams
Fake checks purported to be issued by FINRA appear to be back in circulation in 2019. The checks are counterfeit. Our updated Alert warns the public about job-search scams in which people who respond to ads or online job postings receive checks that appear to be from legitimate companies—including FINRA.
https://www.securitiesfraudlawyerblog.net/category/disciplinary-actions/page/3/
Securities Fraud Lawyer Blog — Disciplinary Actions Category — Page 3 of 33 — Securities Fraud Lawyer Blog. ... is facing a FINRA complaint as a result of an investigation into a complaint regarding his excessive trading in a customer’s account. ... 2016 the SEC announced a bar against former Sammons Securities and Cetera Advisors ...
https://www.investorclaims.com/brokerage-firms/cetera-advisor-networks/
Nov 19, 2019 · Cetera Advisor Networks November 19, 2019. Investment Loss Claims Against Cetera Financial. Cetera Advisor Networks, also known as Cetera Financial Specialists and Cetera Financial Institutions, was founded in 1983 under the name “Financial Network Investment Corporation.”
https://www.securities-law-attorney.com/francis-gendlek/
Mar 27, 2018 · The customer is seeking $133,000 in damages in the pending complaint. In 2016 he was “permitted to resign” from his former employer in connection to allegations of “lost or stolen/funds securities” and that he made misrepresentations or provided misleading information.
https://www.thebalance.com/financial-advistors-credentials-2388438
Jun 25, 2019 · If the answer is FINRA, the advisor will hold some type of securities license, or perhaps several licenses. You can use the BrokerCheck feature on FINRA’s website to see if there are any complaints on file.; If the answer is the SEC, you can use the SEC Investment Advisor search feature on their website to check out both the advisor and the firm they work for.
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