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Stock broker John Maloney of Morristown, Tennessee, who is also known as Jack Maloney, is currently involved in three customer disputes involving allegations that he recommended unsuitable investments. The claims against Maloney also include misrepresentation, breach of fiduciary duty, negligence, and churning. The cumulative amount of the damages being sought…
Stock broker Dennis Webb of Indianapolis, Indiana has been involved in two customer disputes in recent years, both of which resulted in settlements. The disputes both involved allegations that Webb recommended unsuitable investments. One of the customers also alleged unauthorized and excessive trading. Webb was most recently registered with brokerage…
Former stock broker Edward Bosch Sr. of Florence, Kentucky has been barred from the securities brokerage industry and discharged from his employment with brokerage firm LPL Financial following determinations that he converted customer funds to his own use. Bosch allegedly took the funds under the false pretense that he would invest them, then…
Investor attorneys Mika Meyers, PLC are investigating stock broker Geraldine Gordon of Lexington, Kentucky, who was recently sanctioned by the Financial Industry Regulatory Authority (“FINRA”) for alleged sales practice violations. Gordon allegedly recommended that her customer liquidate a number of diversified investments, and invest the proceeds — half of her liquid net worth —…