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Bryon Martinsen of Centaurus Financial in King’s Park, New York is involved in legal disputes with two customer who allege that he recommended unsuitable investments. Martinsen’s Brokercheck report also discloses that he has previously settled four customer disputes. Suitability Stockbrokers have a duty to recommend suitable investments and investment strategies…
Stockbroker William Heiden of Wedbush Securities in Newport Beach, California is involved in pending legal disputes with at least four customers who variously allege misrepresentations, breach of fiduciary duty, unauthorized trading, and unsuitable investment recommendations. Heiden is no stranger to such disputes: from 2000 to February 2018, Heiden settled 10…
On May 24, 2019, Washington securities regulators suspended the securities agent registration of Roger Duval. The regulator alleges that between June 2017 and April 2019, Duval made unauthorized withdrawals totaling $246,400 from three customer accounts, two of which belonged to elderly customers and one of which was property of the estate of a recently…
Stockbroker Andre Davis of Redbank, New Jersey is involved in legal disputes with at least five customers who variously allege unauthorized and excessive trading and unsuitable investment recommendations. The customers are seeking close to $2 million in aggregate damages. Mr. Davis was most recently registered with the firm First Standard…