H. Beck, Inc. Brokers Report Alleged Misconduct Affecting Customers H. Beck, Inc. (Rockville, Maryland) is an investment advisor registered with the Securities and Exchange Commission (SEC#: 31165) and brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) (CRD#: 1763). As of January 2019, the firm has disclosed 18 regulatory events. Namely, those events concern a […]

Brokerage Herbert J. Sims Is Sued Customer of Boca Raton Brokerage Herbert J. Sims Files Securities Arbitration Due To Robert Alan Salles Robert Alan Salles (CRD #1468194, Boca Raton, Florida), who has been a registered representative of Herbert J. Sims & Co, Inc. since October 11, 2002, disclosed via Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that […]