MSI Financial Clients File Disputes About Gary Hammond Investors are alleging losses caused by securities broker Gary Wayne Hammond [CRD#: 2660432, Charlotte, North Carolina]. Evidently, MSI Financial Services, who Hammond worked for from 2000 to 2017, disaffiliated with him for allegedly selling away and [mis]handling a client complaint. Most significantly, Hammond is involved in 10 […]

CLAUS C. FOERSTER (CRD# 1912949) was barred by FINRA for allegedly soliciting his clients to invest in a fictitious entity marketed by Foerster as an income-oriented investment, and converting those investments for his own personal use. Foerster converted approximately $3 million from clients. FINRA's findings stated that Claus Foerster allegedly had clients move funds from […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   Cantone Research Inc. (CRD® #26314, Tinton Falls, New Jersey) and Christine L. Cantone (CRD #2687618, Registered Principal, Thompson, Pennsylvania)   submitted an Offer of Settlement in which the firm was censured, fined $25,000, $10,000 of which was jointly and severally with Christine […]