Investors have come forward with complaints about Gary Gustave Benson (CRD: 1182211, Encino, California). Evidently, the securities broker, who worked for NPB Financial Group LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, NPB Financial Group LLC clients allege that Benson made unsuitable recommendations. For more on these disclosures about Benson, see […]

FINRA's Complaint Alleges Gregory Lewis' Misconduct Concerning StockKings The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against securities broker Gregory Antonius Lewis (CRD#: 2793976, St. Petersburg, Florida). Specifically, the securities broker, who worked for StockKings Capital LLC since June 2013, is accused of misconduct relating to private securities offerings. Soreide Law […]

Jeffrey Rachlin (CRD #823547, Registered Principal, Pleasantville, New York)   has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended from association with any FINRA member in any capacity for 30 business days, and suspended from association with any FINRA member in any principal capacity for 18 months. The […]