FINRA BrokerCheck shows that investors filed disputes about Joseph Comiskey Jr. [CRD: 2760646, Ronkonkoma, New York]. His previous employers include Spartan Capital Securities LLC and K.C. Ward Financial. Notably, investor allegations against Comiskey include misrepresentation and breach of fiduciary duty. Below is an overview of the disclosures involving the securities broker.
A Spartan Capital Securities LLC client filed FINRA Arbitration No. 19-00789 regarding Joseph Comiskey. Namely, the client accused Comiskey of misrepresentation, breach of fiduciary duty, and negligence, and particularly in transactions involving stocks and options. The settlement on May 21, 2020, resulted in a payment of $10,500 to the client.
A K.C. Ward Financial client raised concerns about Joseph Comiskey's sales practices through FINRA Arbitration No. 15-3359. The client alleged speculative trading by Comiskey, primarily in over-the-counter equities. On May 30, 2017, K.C. Ward Financial settled the matter by compensating the client $140,000.
Another K.C. Ward Financial client accused Joseph Comiskey of failing to place a stop-loss order, leading to losses in over-the-counter equities. The firm resolved this issue by agreeing to a settlement of $16,000 on March 18, 2010.
If you've suffered losses due to Joseph Comiskey's actions, consider reaching out to Soreide Law Group. Contact them online or at (888) 760-6552 to explore the possibility of a recovery. Soreide Law Group, known for its commitment to investors nationwide, operates on a contingency fee basis, advancing all necessary costs. Despite the claims, Comiskey and his past employers maintain their denial of any sales practice violations.
One or more investors possibly experienced losses because of securities broker Scott Jason Hechler [CRD: 5277526, Garden City, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hechler has worked for Spartan Capital Securities LLC since May 15, 2023. Previously, he worked at SW Financial from December 10, 2019 […]
Investors potentially experienced sales practice violations due to securities broker Rodger Anthony McAlister [CRD: 2676623, Louisville, Kentucky], according to disclosures on FINRA BrokerCheck. Evidently, McAlister has worked for Money Concepts Capital Corp since December 12, 2005, and for Money Concepts Advisory Service since March 12, 2007. Read below to learn more about McAlister’s disclosures and […]
Investors apparently complained about securities broker Paul N. Lekousis [CRD: 2545673, La Grange Park, Illinois], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lekousis has worked for OneAmerica Securities Inc. since October 16, 2023, in Indianapolis, Indiana, and since November 30, 2023, in La Grange Park, Illinois. Previously, he […]
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