fbpx

Tag: misrepresentations

  • Home
  • »
  • misrepresentations

SEC Sanctioned Investment Adviser Thomas Kahn for Violation of the Investment Advisers Act

Thomas Graham Kahn (CRD#: 263171) is a registered broker and investment advisor at Kahn Brothers LLC., in New York, NY. Broker’s Background Thomas Kahn entered the securities industry in 1969. He previously worked for Lehman Brothers Kuhn Loeb Incorporated, and Abraham & Co. Inc. Allegations of Misconduct According to publicly available records released by the […]

Financial Advisor John F. Davenport (Liberty Partners Financial Services, LLC) Customer Complaints

John F. Davenport (CRD # 1448999) is a Financial Advisor at Liberty Partners Financial Services, LLC in Norwalk, CT.  John Davenport has been in the securities industry since 1986 and previously worked at Securities America, Inc., FSC Securities Corporation, SII Investments, Inc., Royal Alliance Associates and Prime Capital Services, Inc. According to publicly available records […]

Financial Advisor Randy T. Carpen (Vestech Securities, Inc.) Customer Complaints

Randy T. Carpen (CRD # 2469877) was a Financial Advisor at Vestech Securities, Inc. in St. Louis, MO.  Randy Carpen has been in the securities industry since since 1995 and previously worked at IBN Financial Services, Inc., Freedom Investors Corp., IFS Securities, Newbridge Securities Corporation, WestPark Capital, Inc. and CBG Financial Group. According to publicly […]

Financial Advisor Joseph Peggs (Ameriprise Financial Services, LLC) Customer Complaints

Joseph Peggs (CRD # 121971) is a Financial Advisor at Ameriprise Financial Services, Inc. in Seminole, FL.  Joseph Peggs has been in the securities industry since 1984 and previously worked at Planmember Securities Corporation, AXA Advisors, LLC, Woodbury Financial Services, Inc. Jefferson Pilot Securities Corporation, NFP Securities, Inc. and FFP Securities, Inc. According to publicly […]

Financial Advisor Jorge A. Reyes (CP Capital Securities) Customer Complaints

Jorge A. Reyes (CRD # 4256834) was a former Financial Advisor at CP Capital Securities in Miami, FL. Jorge Reyes has been in the securities industry since 2000 and previously worked at RBC Capital Markets Corporation, Carlin Equities, LLC, and the Partners Financial Group, Inc. According to publicly available records released by the Financial Industry […]

Financial Advisor Gerald T. Coyne (CUSO Financial Services) Customer Complaints

Gerald T. Coyne (CRD # 4589061) was a former Financial Advisor at CUSO Financial Services in Harrisburg, PA. Gerald Coyne previously worked at Community Investment Services, CCO Investment Services, UVest Financial Services Group, Citizens Investment Services, and NYLife Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 10, […]

Financial Advisor Lawrence R. Delhagan, Jr. (Stifel, Nicolaus & Company, Incorporated) Customer Complaints

Lawrence R. Delhagan, Jr. (CRD # 2779312) is a Financial Advisor at Stifel, Nicolaus & Company in Center Valley, PA.  Lawrence Delhagan has been in the securities industry since 1996 and previously worked at Ryan Beck & Co., Gruntal & Co. and WMA Securities, Inc. According to publicly available records released by the Financial Industry […]

Financial Advisor Jack D. Stone (Forest Securities, Inc.) Customer Complaints

Jack D. Stone (CRD # 437327) is a former Financial Advisor at Forest Securities, Inc. in Hillside, IL.  Jack Stone has been in the securities industry since 1971 and previously worked at Birkelbach Investment Securities, Direct Access Brokerage Services, Inc. Schwab Capital Markets, L.P., Guntal & Co. Incorporated, Rodman & Renshaw Inc., Haas Securities Corporation, […]