Daniel Fischer Barred By The Securities And Exchange Commission

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Daniel Fischer was a New York based securities broker. He worked in the securities industry for eleven years. During his career, he was registered with nine different securities firms. His registrations included; Monroe Parker Securities (1997), On-Site Trading (1998, 2000-2001), Worldco (2001-2002), Quest Capital Strategies (2004), Hold Brothers On-Line Investment Services (2007), E*Trade Securities (2007-2008), Dimension Securities (2010-2012), WTS Proprietary Trading Group (2012), and Four Points Capital Partners (2012-2017). He is no longer working as a registered securities broker. Daniel Fischer’s publicly available FINRA BrokerCheck report shows that he was recently barred from acting as a securities broker in any…

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Brian Royster Terminated From HD Vest Investment Services

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Brian Royster was a Michigan based securities broker. He worked in the securities industry for nine years. During his career, he was registered with five different securities firms. His registrations included; NYLife Securities (2004-2006), State Farm VP Management (2008-2010), Edward Jones (2010-2013), LPL Financial (2013-2014), and HD Vest Investment Services (2014-2017). He is not currently working as a registered securities broker. Brian Royster’s publicly available FINRA BrokerCheck report shows that he has multiple red marks on his record that include customer complaints, a termination, and a FINRA sanction. In October 2013, a customer alleged that Royster misrepresented a fixed/immediate annuity….

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Karen Paek Recently Discharged From Pruco Securities

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Karen Paek was a California based securities broker. She worked in the securities industry for six years. During her career, she was registered with just two different securities firms. They are First Investors Corporation (2011-2015) and Pruco Securities (2015-Present). Karen Paek’s publicly available FINRA BrokerCheck report shows that she was recently discharged from her position at Pruco Securities. The termination followed allegations that she falsified multiple annuity applications and customer financial statements. Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Karen Paek, please…

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Nicholas Disesso Allegedly Engages In Excessive Trading

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Nicholas Disesso was a New Jersey based securities broker. He worked in the securities industry for thirty-eight years. During his career, he was registered with seven different securities firms. His registrations included; J.B. Hanauer & Co. (1977-1982), Moore & Scley Municipals (1982-1986), Smith Barney, Harris & Upham & Co. (1986-1988), Dean Witter Reynolds (1988-1991), A.G. Edwards & Sons (1991-2008), Wells Fargo Advisors (2008-2009), and Ameriprise Financial Services (2009-2016). He is not currently working as a registered securities broker. Nicholas Disesso’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In…

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Theodore Hart Allegedly Mismanages A Customer’s Account

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Theodore Hart is a Washington DC based securities broker. He has worked in the securities industry for thirty years. During his career, he has been registered with four different securities firms. His registrations include ISFA Corporation (1987-1988), Sheraton Lehman Hutton (1989), Morgan Stanley (1989-2007, 2009-Present), and Citigroup Global Markets (2007-2009). Theodore Hart’s publicly available FINRA BrokerCheck report shows that he is currently the subject of a pending customer complaint. In January 2018, a customer alleged his accounts were mismanaged and over-weighted in oil and natural resources. The customer is seeking an undisclosed amount in damages. Oakes & Fosher dedicates its…

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Tyrone Pang Allegedly Mishandles Customer Funds To Pay Insurance Premiums

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Tyrone Pang was a California based securities broker. He worked in the securities industry for seven years. During his career, he was registered with two different securities firms. They are NYLife Securities (2008-2015) and MML Investors (2017). He is not currently working as a registered securities broker. Tyrone Pang’s publicly available FINRA BrokerCheck report shows that he allegedly mishandled client funds for the purposes of paying insurance premiums. Due to this alleged infraction, he was terminated from his position at NYLife Securities and was barred by FINRA from acting as a securities broker in any fashion. The customer in this…

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Rocco Roveccio Allegedly Engages In Unauthorized Trading

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Rocco Rovescio is a New Jersey based securities broker. He has worked in the securities industry for twenty-one years. During his career, he has been registered with fourteen different securities firms. His registrations include; Northeast Securities (1996-1997), Taglich Brothers, D’amadeo, Wagner and & Co. (1997), J.P. Turner & Company (1997-1998, 2006-2008), LCP Capital Corp (1999-2001), Stone Harbor Financial Services (2001), Cantone Research (2001), Cybervest Securities (2001-2002), Synergy Investment Group (2002), Joseph Stevens & Company (2002-2005), Gunnallen Financial (2005-2006), Mercer Capital LTD (2008-2009), Brookstone Securities (2009-2012), Alexander Capital (2012-2014), and First Standard Financial Company (2014-Present). Rocco Rovescio’s publicly available FINRA BrokerCheck…

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William Michael Robertson Allegedly Recommends Unsuitable Investments

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William Michael Robertson was a Texas based securities broker. He worked in the securities industry for forty years. During his career, he was registered with four different securities firms. His registrations included; Bache & Co. (1976-1981), Dean Witter Reynolds (1981-1994), D.E. Frey & Company (1994-2000), and First Allied Securities (2000-2016). He is not currently working as a registered securities broker. William Michael Robertson’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints during his career. In October of 1990, a customer alleged misrepresentation and unsuitable recommendations regarding several mutual funds & limited partnerships. This case was…

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David Manor Resigns From Wells Fargo Following Allegations

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David Manor was a Massachusetts based securities broker. He worked in the securities industry for five years. During his career, he was registered with three different securities firms. His registrations included; Merrill Lynch (2012-2013), Santander Securities (2013-2016), and Wells Fargo (2016-2018). He is not currently working as a registered securities broker. David Manor’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints during his career. In January 2016, a customer alleged that their investment had been misrepresented to her by David Manor. She was apparently not aware that she would not have access to the money…

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James Duffy Allegedly Recommends Unsuitable Puerto Rico Municipal Bonds

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James Duffy is a New York based securities broker. He has worked in the securities industry for thirty-one years. During his career, he has been registered with six different securities firms. His registrations include; McLaughlin, Piven, Vogel Securities (1987-1994), First Albany Corporation (1993-2000), First Union Securities (2000), Advest (2000-2006), Merrill Lynch (2006), and Morgan Stanley (2006-Present). James Duffy’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In January of 2000, a customer alleged that a bond that Duffy recommended was speculative and not consistent with their stated investment objective…

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