Reports of Binary Options and Forex fraud are reaching all-time highs as regulators and government agencies like the U.S Commodity Futures Trading Commission (“CFTC”) continue to receive hundreds of complaints...Read More
The Law Firm of David Chase is reviewing allegations concerning former Campbell, California-based Principal Securities Inc. stockbroker Steven E. Bonner after FINRA permanently barred him following his failure to respond...Read More
The Law Firm of David Chase is reviewing allegations concerning North Royalton, Ohio-based Key Investment Services broker Abed A. Darwish after a client filed a FINRA complaint alleging unsuitable investments...Read More
The Law Firm of David Chase is reviewing allegations concerning former Toledo, Ohio-based Wells Fargo broker John B. Leonard with respect to multiple customer complaints of unsuitable investment recommendations. In...Read More
Under the law, there are several key legal and equitable defenses available to a financial advisor who finds himself defending against a promissory note or employee forgivable loan FINRA Arbitration case filed by a...Read More
The Law Firm of David Chase is reviewing allegations involving former Atlanta, Georgia-based Merrill Lynch broker Blake P. King concerning the exercise of discretion in a client’s brokerage accounts and...Read More
The Law Firm of David Chase is reviewing allegations against former Hilo, Hawaii-based First Allied Securities broker John K Kai (CRD#2163244) involving the improper exercise of discretion in client brokerage...Read More
The Law Firm of David Chase is investigating allegations involving Tampa, Florida-based Merrill Lynch (CRD#7691) broker Joel T Summerlin (CRD#2289767) with respect to possible excessive trading (churning) and unsuitable investment...Read More
The Law Firm of David Chase is investigating former Boston, Massachusetts based Morgan Stanley (CRD#149777) broker James S Polese (CRD#2636427) concerning allegations of misrepresentation and misappropriation of client funds. According...Read More
The Law Firm of David Chase is investing former Ohio based Merrill Lynch (CRD#7691) broker David R. Kondracke (CRD#849161) following a FINRA bar after he failed to respond to FINRA’s...Read More
