Investors potentially experienced sales practice violations due to securities broker David Charles Heide (also known as Dave Heide) [CRD: 2112032, Palos Heights, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, David Heide has been registered with RBC Capital Markets LLC since November 1, 2016, where he works as both a broker and investment […]

Investors may have incurred losses because of securities broker Jacque Paul Kuchta [CRD: 1819415, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kuchta has been employed by UBS Financial Services Inc. from January 18, 2012, to the present. Keep reading to understand more about the disclosures involving Jacque Kuchta and […]

THE FOLLOWING IS AN ARTICLE FROM THE SEC'S WEBSITE: "The U.S. Securities and Exchange Commission announced today that the United States District Court for the District of Colorado entered an Order amending a February 11, 2011 Final Judgment wherein Greenberg, without admitting or denying the Commission’s allegations, consented to the entry of a Final Judgment […]

In an InvestementNews.com article from January20,2012, Dan Jamieson writes that in a regulatory notice, Finra outlined characteristics of what it calls “complex products,” which could include structured notes, inverse or leveraged exchange-traded funds, hedge funds and securitized products such as asset-backed securities. Finra stated that brokerage firms should have formal written procedures covering everything from […]

Recently, a FINRA arbitration panel made a monetary award  in the case of Stone & Youngberg v. Kay Family Revocable Trust, No. 3:11-cv-00198 (N.D. Cal., 6/22/11),  which was appealed by the defense and lost.    This case involved the challenge by a broker-dealer to a $750,000 award to a former customer, who was advised by Stone & […]