Excessive Trading Archives - New York Investment Fraud Lawyer

Vern Hart Allegedly Did Not Work in an Elderly Investor’s Best Interest

Aug 30, 2024 Excessive Trading

Vern Hart (CRD #: 1122114), a broker registered with Raymond James & Associates, is the subject of an investor dispute. This is according to his […]

Martin Noonan Allegedly Failed to Respond to a FINRA Request Following a Bar

Jun 28, 2024 Excessive Trading

Martin Noonan (CRD #: 2982159) has been barred by FINRA. He also is facing a new regulatory action. These disclosures appear on his BrokerCheck record, […]

Mark Augusta Allegedly Executed an Excessive Number of Trades

Jun 18, 2024 Excessive Trading

Mark Augusta (CRD #: 1333913), a broker registered with Hilltop Securities, is the subject of a new investor dispute. This disclosure appears on his BrokerCheck […]

Jonathan Bourgeois is the Subject of a Multi-Million Dollar Dispute

May 23, 2024 Excessive Trading

Jonathan Bourgeois (CRD #: 5757664), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This is according to his […]

Scott Hechler Allegedly Engaged in Excessive and Unauthorized Trading

May 17, 2024 Excessive Trading

Scott Hechler (CRD #: 5277526), a broker registered with Spartan Capital Securities, is the subject of an investor dispute. This is according to his BrokerCheck […]

David Kaiser Subject of Excessive Commission Allegations

Apr 26, 2024 Excessive Trading

David Kaiser (CRD #: 2461995), a broker registered with Cambridge Investment Research, is the subject of an investor dispute. This is according to his BrokerCheck […]

Shaun Stein Allegedly Engaged in Excessive Trading

Apr 18, 2024 Excessive Trading

Shaun Stein (CRD #: 4873578), a broker registered with B. Riley Wealth Management, is the subject of his third investor dispute. This disclosure appears on […]

Elaine Hartman is the Subject of Excessive Trading Allegations

Apr 16, 2024 Excessive Trading

Elaine Hartman (CRD #: 2070272), a broker registered with Independent Financial Group, is the subject of an investor dispute. This disclosure appears on her BrokerCheck […]

Kurt Klingenberg is Facing Allegations of Excessive Trading

Apr 4, 2024 Excessive Trading

Kurt Klingenberg (CRD #: 2384065), a broker registered with Raymond James & Associates, is the subject of an investor dispute. This disclosure appears on his […]

Leo Hansen is Subject of Excessive Trading Allegations

Mar 15, 2024 Excessive Trading

Leo Hansen (CRD #: 3207894), a broker registered with Merrill Lynch, is facing an investor dispute. This disclosure appears on his BrokerCheck record, accessed on […]