INVESTOR ALERT: Claims Against Citigroup Global Markets Inc. Brokers Becky Woo, John Kelly Citigroup Global Markets Inc. (CRD#: 7059, New York, New York) is both a FINRA-regulated brokerage firm and SEC-regulated investment advisory. The firm, established January 25, 1960, discloses an alarming rate of regulatory events and arbitrations on FINRA BrokerCheck. Specifically, regulators have taken disciplinary […]

Attention: Foresters Financial Services Discharges Brokers Ioulia Guerin, Richard Dismore Foresters Equity Services, Inc. (CRD#: 18464, San Diego, California) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm. Evidently, as of December 14, 2018, it is pending withdrawal as a Securities Exchange Commission (“SEC”) registered investment adviser. Apparently, the firm reports on FINRA BrokerCheck […]

HSBC Securities Terminates Robert Fortune, Matthew Riez, Anita Bali HSBC Securities (USA) Inc. is a brokerage firm (CRD#: 1985) regulated by Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm (SEC#: 801-64563,8-41562) regulated by Securities and Exchange Commission (“SEC”). Apparently, on FINRA BrokerCheck, the firm has been in sixty regulatory events and seven arbitrations pertaining […]

Misconduct Allegations Against UBS Financial Services Brokers UBS Financial Services Inc.  (CRD#: 8174) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. UBS’ main offices are in Weehawken, New Jersey. UBS has reported 858 discloses regarding its alleged mishaps in the securities industry. 453 of those disclosures concern […]

Ameriprise Financial Services, Inc. (CRD® #6363, Minneapolis, Minnesota) and David Bradley Tysk (CRD #1782289, Eden Prairie, Minnesota). Ameriprise Financial Services, Inc. (Ameriprise) was censured and fined $100,000, and David Bradley Tysk (Tysk) was fined $50,000 and suspended by FINRA® for three months. These sanctions were based on FINRA's findings that allegedly, Tysk altered computer notes […]

The Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information which is located on FINRA’s website, under “Disciplinary and Other FINRA Actions, August, 2014.” Karen Lee Chafe (CRD #1935625, Melbourne Beach, Florida) was assessed a deferred fine of $5,000 and suspended by FINRA member for one year. FINRA reports that Chafe […]

In a February 29, 2012, article from BrowardBulldog.org, Ann Henson Feltgen writes that a Broward County probate judge has nipped an alleged attempt to redirect a $3 million inheritance intended to care for four beloved show dogs following their owner’s death. Judge Mark Speiser threw out financial advisor Charles E. Bishop’s claim as inheritor of the estate […]