Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.”
Edward James Wendol (CRD #2392007, Spring Hill, Florida)
was barred by FINRA for alleged failure to comply with FINRA’s request for documents and information, and failure to appear and provide testimony.
FINRA's findings stated that Wendol was involved in an investigation into undisclosed outside business and undisclosed private securities transactions from which FINRA had requested documents and information. Wendol refused to appear before FINRA or provide information.
(FINRA Case #2013038557301)
Edward James Wendol was previously registered with the following securities firm(s):
Registered Dates Firm
09/2013 - 07/2014 WTS PROPRIETARY TRADING GROUP LLC (CRD# 148117) - NEW YORK, NY
12/2011 - 08/2012 STERLING ENTERPRISES GROUP, INC. (CRD# 44915) - ST. PETERSBURG, FL
11/2008 - 10/2009 AMERICAN CLASSIC SECURITIES, INC. (CRD# 25399) - PONTE VEDRA, FL
06/2005 - 11/2006 PEAK SECURITIES CORPORATION (CRD# 107907) - LARGO, FL
11/2003 - 12/2003 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD# 13609) - MARION, IA
06/2002 - 04/2003 QUICK & REILLY, INC. (CRD# 11217) - NEW YORK, NY
04/2001 - 06/2002 J.P.R. CAPITAL CORP. (CRD# 38056) - SYOSSET, NY
FINRA expelled the firm in 08/2007
10/1995 - 04/2001 GBI CAPITAL PARTNERS INC. (CRD# 14623) - BETHPAGE, NY
10/1993 - 10/1995 LEW LIEBERBAUM & CO., INC. (CRD# 17341) - GARDEN CITY, NY
09/1993 - 10/1993 SOUTH RICHMOND SECURITIES, INC. (CRD# 14913)
FINRA's website summary ends here.
Call Ft. Lauderdale-based Soreide Law Group for your free consultation on how to potentially recover your investment losses at 888-760-6552.
Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
A pending customer claim on the BrokerCheck report of John Ravsten (CRD: 5634077) alleges $118,000 in damages. The claimant alleges misrepresentation and says the investment did not suit the claimant's situation.
A pending $2,500,000 customer claim over DST investments appears on the BrokerCheck report of Wendy Kretschmer (CRD: 3111589). The claimants allege that WestPark recommended the investments, and the claim remains open.
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