Allegis Investment Advisors ordered to pay investors $911,000. On January 8, 2018 an American Arbitration Association panel issued a $911,000 binding arbitration award to clients of the Law Office of David Liebrader. The award stems from options trading losses losses suffered by the clients in 2015. The award of $911,000…
Alvery Bartlett investigation into oil and gas private placements The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Alvery Bartlett a registered representative formerly with Berthel Fisher and Company, now with Arête Wealth Management. The pending customer dispute that…
Jon VanSlooten, a registered representative from Toledo, Ohio, formerly with Edward Jones, was suspended from FINRA membership as a result of an investigation into his discretionary trading without the consent of his customers or firm. VanSlooten entered into an acceptance, waiver and consent agreement with FINRA in which he neither…
John Piccarreto, a registered representative from San Antonio, Texas, formerly with First American Securities, was suspended from FINRA membership as a result of an investigation into his private business transactions and dealings with another company other than his firm, which is a violation of FINRA rules. Piccarreto entered into an…
Jeffrey Noard, a registered representative from Menomonee Falls, Wisconsin, formerly with Allied Beacon Partners, was suspended from FINRA membership as a result of an investigation into unsuitable recommendations made to an elderly client who purchased debentures. Noard entered into an acceptance waiver and consent agreement with FINRA in which he…
Christopher Hickman, a registered representative from Boynton Beach, Florida, formerly with Cetera Advisors, was fined and suspended from FINRA membership as a result of an investigation into his Unit Investment Trust (UIT) trading for multiple clients, conduct deemed a violation of FINRA rules. Hickman entered into an acceptance, waiver and…
Christopher Hawn, a registered representative from Furlong, Pennsylvania, formerly with Alps Distributors, was fined and suspended from FINRA membership as a result of an investigation into allegations that he participated in private securities transactions without obtaining firm approval. Doing so is a violation of FINRA rules. As a result of…
Kejaun Yang, a registered representative from Woodside, New York, formerly with T3 Trading Group, was suspended from FINRA membership as a result of an investigation into her participation in private securities transactions without obtaining her firm’s prior approval, which is a violation of FINRA rules. Yang entered into an acceptance…
Richard Botkin, a registered representative from Granite Bay, California, with Stifel, Nicolaus & Company and formerly with Morgan Stanley, was suspended from FINRA membership as a result of an investigation into his participation in private dealings without obtaining his firm’s approval, which is a violation of FINRA rules. Botkin entered…
Andrew Logullo, a registered representative from Los Angeles, California, formerly with Ameritas Investment Corp., was suspended from FINRA membership as a result of an investigation into his ownership of discretionary accounts with members of another firm, which is a violation of FINRA rules. Logullo entered into an acceptance waiver and…