In January, 2016, a three member FINRA arbitration panel issued a $100,000 binding arbitration award against Steelpoint Securities for conduct related to one of their former registered representatives Ron Harrod. The underlying matter involved allegations that Harrod improperly recommended gold and silver and energy investments to one of his customers. …
The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Ron Harrod, a FINRA registered representative formerly with Steelpoint Securities in San Diego, CA. Ron Harrod has been FINRA licensed to sell securities for 58 years, and spent the last…
On December 3, 2015, a FINRA Dispute Resolution, Inc. arbitration panel found against Greg Townes, a registered representative with Foresters Equity Services of Ocala, FL. The Claimants in the matter, Wanda and Michael Saporito were represented by The Law Office of David Liebrader. After hearing the evidence, the FINRA arbitrators…
On August 18, 2015 a FINRA Dispute Resolution, Inc. arbitration panel found against Jon Sanchez, a registered representative with Independent Financial Group of Reno, NV. FINRA Code of Arbitration Procedure section 12904 governs the issuance and payments of awards. Key provisions of the rule are that the award may be…