Morgan Stanley Fined by State of New Hampshire
On November 27, 2018, Morgan Stanley was fined by the State of New Hampshire, Bureau of Securities Regulations. That is the agency that has jurisdiction over enforcing the Uniform Securities Act in the state of New Hampshire. Here are the allegations: An advisor at Morgan Stanley engaged in churning or excessive trading of stocks. The […]
Former Morgan Stanley Advisor Wendell Kucker Has Long History of Customer Disputes
Wendell Kucker (CRD# 711494) recently left his position at Morgan Stanley in Modesto, California and is currently not registered as a broker or an investment adviser. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, he has been involved in numerous customer complaints that resolved with settlements paid to the customer. Complaints Allege Concentration, […]
Former Stifel Advisor Larry Delhagen Involved in Multiple Customer Settlements
Lawrence Delhagen (CRD# 2779312) has been involved in customer disputes alleging his actions caused substantial losses. According to his Financial Industry Regulatory Authority BrokerCheck report, last accessed on December 1, 2021, he was most recently registered with Stifel Nicolaus & Company in Center Valley, Pennsylvania. Also known as Larry Delhagen, he is not currently registered […]
Carl Antaki Sanctioned by FINRA Over Unsuitable Trades
Carl Antaki (CRD 4177543) and FINRA entered into a Letter of Acceptance, Waiver and consent on May 20, 2021. According to the AWC, Carl Antanki recommended a pattern of excessive trades in his customer’s accounts. Carl Antanki is currently registered with Network 1 Financial. Here is a copy of the AWC: Did You Lose Money […]
David Khezri Under FINRA Investigation Over Excessive Trades
David Khezri (CRD #: 2736831), a broker registered with Network 1 Financial Securities, is under FINRA investigation according to his BrokerCheck record, accessed on November 24, 2021. FINRA Announces Investigation into David Khezri On May 26, 2021, FINRA made a preliminary determination to recommend that disciplinary action be brought against David Khezri. FINRA alleges that […]