JAMES ROBERT SCHAEDLER JR. CRD#: 4264512 (James Schaedler) has been barred from acting as a broker or otherwise associating with firms that sell securities to the public by the Financial Industry Regulatory Authority (FINRA). According to FINRA’s report on Schaedler’s BrokerCheck, which is available to the public, without admitting or denying the findings, James Schaedler […]

RRICHARD GRANT CODY (RICHARD G CODY) CRD#: 2794558, a New Jersey financial advisor, has been charged with defrauding his retired clients through his company, Boston Investment Partners, LLC. The SEC's complaint alleges that Cody defrauded at least three of his elderly, retired clients over a twelve-year period by concealing the fact that their retirement accounts […]

Soreide Law Group obtained the following April 2017 Disciplinary Report from FINRA’s website: Kelly Clayton Althar (CRD #2666723, San Pablo, California) was barred by FINRA for allegedly making unsuitable recommendations and engaged in excessive trading in accounts held by an elderly client. FINRA’s findings stated that Kelly Althar engaged in high-volume trading to generate commissions […]

The Financial Industry Regulatory Authority Inc. (FINRA) filed a complaint against JOHN A. WASZOLEK (CRD# 800403) for allegedly taking advantage of one of his client's with Alzheimer's. Waszolek was a broker with UBS Wealth Management in 2009, when he allegdly took advantage of his client by attempting to inherit approximately $2 million from his client. […]

The Financial Industry Regulatory Authority, also known as FINRA, has recently established a new hotline for older investors. The new toll-free Securities Helpline for Seniors is: 1-844-57-HELPS (1-844-574-3577) Within the past four weeks, approximately 350 calls have come in from seniors looking for more information about investment products. They are also able to report broker […]

The Financial Industry Regulatory Authority (FINRA) announced that Avenir Financial Group, a New York-based broker-dealer, its CEO Michael Clements, and registered representative Karim Ibrahim (aka Chris Allen) consented to an order halting further fraudulent sales of equity interests in the firm and promissory notes pending a hearing on fraud charges relating to the same offerings. […]

The Securities and Exchange Commission (SEC) charged Donna Jessee Tucker, based in Roanoke, Va., with defrauding elderly customers, including some who are legally blind. Tucker allegedly stole $730,289 for her own personal use, including cars, vacations, country club memberships, and falsifying her clients' account statements to cover up her fraud. Tucker also allegedly engaged in […]

Virginia broker, Donna Jessee Tucker, (CRD# 4696985) was charged by the SEC in Roanoke, Virginia, with defrauding her elderly clients. Tucker allegedly stole her clients' money for her own personal use and falsified the account statements to cover up her fraud. Allegedly, Tucker stole $730,289 from her elderly clients and then used the money to […]

RALPH H. LORD (CRD# 312708), a stock broker and former investment advisor from Flowood, Mississippi, was fined by the Mississippi Secretary of State for allegedly advising a now-deceased Greenville, Mississippi woman to buy into a risky company. The investigation revealed that in 2003 - 2004, Lord allegedly sold a 90 year-old woman, $230,000 in debt […]