Merrill Lynch Client And Beam Asset Management Client File Disputes About Broker Curtis Wilson FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Curtis Brian Wilson “Curt Wilson” (CRD#: 1517272, Tulsa, Oklahoma) and that those violations resulted in damages. Evidently, Wilson worked as a financial advisor for Beam Asset Management (2012 to […]

Fort Lauderdale-based Soreide Law Group recently obtained this summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.” Richard Happle (CRD #1095540, St. Petersburg, Florida) was assessed a deferred fine of $5,000 and suspended by for 10 business days. Allegedly, Happle failed to execute a client's trade order. FINRA's findings stated […]