Ohio Broker Thomas Brenner Jr. Fined and Suspended by FINRA and Ordered to Disgorge Commissions

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Thomas Edward Brenner Jr. (CRD #1489233) of Orrville, Ohio submitted to an Acceptance, Waiver & Consent (“AWC”) with FINRA in which he was assessed a fine of $30,000, suspended from association with any FINRA member in any capacity for 16 months, and ordered to pay deferred disgorgement of commissions of $189,000, plus interest.

FINRA alleged that Thomas Brenner engaged in two separate private placements which were rife with supervisory and substantive violations. FINRA alleged that in soliciting customers to purchase a private placement offering, Brenner provided customers with a private placement memorandum (PPM) for the offering and a program summary, the latter of which provided a brief summary of the offering. FINRA alleged that both the PPM and the program summary contained several statements that claimed or implied that the investments were secured, or suggested a level of safety in the investments or reliability in forecasting returns by investors.

FINRA further alleged that in soliciting investors for another offering, Brenner provided each investor with an application form, a subscription agreement, a promissory note and an executive summary generally describing the offering. FINRA also alleged that at various times while Brenner was soliciting investors in this offering, a founder of the offering told Brenner that a PPM was forthcoming, but, the PPM was not completed until after FINRA’s investigation of the offering began and well after Brenner had ceased soliciting investors, hence, the PPM was not provided to investors. FINRA alleged that by distributing a variety of documents to investors in each offering, Brenner negligently made untrue statements of material facts or omitted to state material facts necessary to make the statements made, in the light of the circumstances under which they were made, not misleading, and made statements which were not fair and balanced, and were misleading, exaggerated and unwarranted.

As a result of the foregoing Thomas Brenner was fined and suspended by FINRA. The suspension is in effect from August 15, 2016, through December 14, 2017. (FINRA Case #2015046056403)

According to FINRA’s Broker Check, Thomas Brenner was registered with the securities industry for thirty (30) years, and was registered with the following firm(s):

First American Securities, Inc.
CRD# 35841
Orrville, OH
11/2011 – 06/2016

Capstone Financial Group, Inc.
CRD# 133591
Forest Lake, MN
08/2010 – 11/2011

First Allied Securities
CRD# 32444
Orrville, OH
07/2007 – 08/2010

Raymond James Financial Services, Inc.
CRD# 6694
Orrville, OH
06/1991 – 07/2007

Edward Jones & Co. L.P.
CRD# 250
St. Louis, MO
04/1986 – 06/1991

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Montgomery Alabama Broker Michael James Barranco Fined and Suspended by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Michael James Barranco (CRD #4825738) of Montgomery, Alabama consented to an Acceptance, Waiver and Consent (“AWC”) with FINRA in which he was assessed a fine of $20,000 and suspended from association with any FINRA member in any capacity for two years. As part of the FINRA AWC, Michael Barranco consented to the sanctions and to the entry of FINRA’s findings that he participated in private securities transactions with three different issuers outside of his member firm without providing proper notice to the firm. Barranco’s suspension is in effect from August 1, 2016, through July 31, 2018. (See FINRA Case # 2015048273301 ).

Michael James Barranco entered the securities industry in 2004 when he became registered as a General Securities Representative. He was registered with LPL Financial LLC (“LPL”) from April 2007 until December 17, 2015. FINRA alleged that between 2010 and 2015, while registered with LPL, Barranco participated in almost 40 private securities transactions with three different issuers without providing proper notice to his firm.

FINRA alleged that in total, 27 people, most of whom were firm customers, invested over $3.5 million through Barranco. FINRA alleged that Barranco participated in the solicitation of or otherwise facilitated investments by firm customers and others in 13% Senior Notes issued by TMG and that in total, between November 2010 and February 2011, Barranco participated in 35 transactions through which 27 individuals, most of whom were firm customers, invested at least $2,087,000 in the TMG notes. FINRA alleged that certain of the customers held their TMG notes in LPL accounts.

FINRA further alleged that in 2014, the founders of TMG purchased a distressed real estate development (“IBH”) and issued 12% Senior Notes (“IBH Notes”). FINRA alleged that Barranco recommended the IBH Notes to two of his customers and they invested a total of $750,000. FINRA also alleged that Barranco then participated in two additional transactions through which the customers converted their IBH Notes into notes in IBH’s parent company.

FINRA alleged that Barranco violated NASD Rule 3040 and FINRA Rule 2010. As a result, Barranco was suspended from association with any FINRA member in any capacity for a period of two years and fined $20,000. Also, according to FINRA’s Brokercheck LPL terminated Barranco for soliciting clients to invest in private securities transactions in violation of firm policy.

Furthermore, according to FINRA’s Broker Check, Michael James Barranco was registered with the securities industry for twelve (12) years, and was registered with the following firm(s):

LPL Financial LLC
CRD# 6413
Montgomery, AL
04/2007 – 12/2015

Raymond James Financial Services, Inc.
CRD# 6694
Montgomery, AL
11/2004 – 04/2007

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Oklahoma City Broker Joseph Bess Fined and Suspended by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Joseph L. Bess II (CRD #4441939) of Oklahoma City, Oklahoma submitted an Acceptance, Waiver and Consent (“AWC”) with FINRA in which he was assessed a fine of $5,000 and a suspension from association with any FINRA member firm in all capacities for a period of two months. FINRA alleged that from January 2013 through January 2014, Bess marked order tickets for 139 transactions in the accounts of 21 customers as “unsolicited” when, in fact, Bess had solicited the transactions.

FINRA Rule 4511 requires FINRA regulated broker-dealers to make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act rules. Inherent in these requirements is the requirement that the records made are accurate. FINRA has stated that a violation of FINRA Rule 4511 is inconsistent with high standards of commercial honor and just and equitable principles of trade and, therefore, also constitutes a violation of FINRA Rule 2010.

FINRA alleged that from January 2013 through January 2014, Bess marked a total of 139 order tickets for the purchase of Exchange Traded Funds (“ETFs”) in the accounts of 21 customers as “unsolicited” when, in fact Bess had solicited each order by bringing the relevant ETF transaction to the attention of each customer. FINRA alleged that the Firm maintained an approved list of securities that could be solicited, and the Firm’s electronic order-taking system would reject any trades in unapproved securities that were marked as solicited. FINRA alleged that because none of the ETF’s that were the subject of the 139 mismarked transactions were on the approved list, Bess marked the transactions as “unsolicited” in order to have the trades accepted by the Firm’s electronic system.

As a result of the foregoing conduct, FINRA suspended Bess from association with any FINRA member firm in all capacities for a period of two months and assessed a $5,000 fine against Bess.

According to FINRA’s Broker Check, Joseph L. Bess II was registered with the securities industry for eleven (11) years, and was registered with the following firm(s):

Waddell & Reed
CRD# 866
Edmond, OK
04/2014 – 07/2016

J.P. Morgan Securities, LLC
CRD# 79
Oklahoma City, OK
10/2012 – 04/2014

Chase Investment Services Corp.
CRD# 25574
Oklahoma City, OK
04/2009 – 10/2012

Wachovia Securities, LLC
CRD# 19616
Edmond, OK
04/2007 – 04/2009

UBS Financial Services, Inc.
CRD# 8174
Edmond, OK
11/2005 – 05/2007

A.G. Edwards & Sons, Inc.
CRD# 4
St. Louis, MO
11/2001 – 05/2002

Furthermore, according to FINRA Brokercheck, Bess voluntarily resigned from J.P. Morgan Securities, LLC while under internal review for allegedly soliciting unsuitable annuity products and for soliciting closed end funds which were not on the firms approved solicitation list and marking those trades as unsolicited.

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Maryland Broker Joseph Butler Barred by FINRA and Ordered to Pay Restitution

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Joseph Ronald Butler (CRD #2447535) of Brandywine, Maryland was barred from association with any FINRA member in any capacity and ordered to pay $170,408.18, plus interest, in restitution to his former customer. The SEC affirmed the findings and sanctions following appeal of the Order imposed by FINRA. FINRA alleged that Butler converted an elderly customer’s funds and named himself the beneficiary of her annuity by submitting a falsified beneficiary change request form falsely representing that he was her son.

FINRA further stated that Butler took advantage of his elderly customer, who was suffering from declining mental health and who relied on him to help manage her finances. FINRA alleged that Butler, aware of her diminished capacity, withdrew funds from the customer’s bank account by writing and cashing checks payable to himself and to “cash”, made wire transfers from the customer’s account to his own, and used the customer’s accounts to pay his personal tax liabilities. FINRA further alleged that Butler also took the customer to his attorney, where she ultimately executed papers naming Butler her personal representative and the primary beneficiary under her will, and giving him power of attorney. (FINRA Case #201203 2950101).

As a result of the foregoing Joseph Butler was barred from association with any FINRA member in any capacity and ordered to pay $170,408.18, plus interest, in restitution to his former customer.

According to FINRA’s Broker Check, Joseph Butler was registered with the securities industry for nineteen (19) years, and was registered with the following firm(s):

Innovation Partners LLC
CRD# 146344
Charlotte, NC
10/2012 – 10/2015

Woodbury Financial Services, Inc.
CRD# 421
Clinton, MD
06/1997 – 08/2012

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

J.P. Morgan Securities Broker Jonathan Casiano Barred by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Jonathan J. Casiano (CRD# 6607584) was barred from association with any FINRA member in any capacity. FINRA alleged that while registered with J.P. Morgan Securities, LLC, Casiano issued, or caused to be issued, debit cards linked to the accounts of five bank customers. FINRA further alleged that between June 2, 2016 and June 28, 2016, Casiano directed family members and a friend to use the debit cards to make unauthorized withdrawals of funds from three of the bank customers’ accounts totaling at least $14,400. FINRA alleged that Casiano used the misappropriated bank customer funds to make personal expenditures.

FINRA Rule 2010 provides that “[a] member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.” By misappropriating funds from bank customers, FINRA alleged that Casiano violated FINRA Rule 2010.

As a result of the foregoing Jonathan Casiano was barred from association with any FINRA member in any capacity.

According to FINRA’s Broker Check, Jonathan Casiano was registered with the securities industry for less than one year, and was registered with the following firm(s):

J.P. Morgan Securities, LLC
CRD# 79
Arlington, TX
03/2016 – 07/2016

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Miami Florida Broker Joseph N. Barnes Fined and Suspended by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Joseph N. Barnes, Sr. of Miami Florida (CRD # 5603198) is suspended from associating with any member firm in any capacity for six months for failing to timely disclose his bankruptcy petitions on his Form U4, in willful violation of FINRA By-Laws and FINRA Rules. Barnes was also fined $5,000.

According to FINRA’s Broker Check, Joseph N. Barnes, Sr. was registered with the securities industry for six (6) years, and was registered with the following firm(s):

IFS Securities
CRD# 40375
Miami Lakes, FL
10/2013 – 7/2014

Blaylock Robert Van, LLC
CRD# 145317
New York, NY
02/2010 – 09/2013

Grisby & Associtate, Inc.
CRD# 13364
New York, NY
01/2010 – 02/2010

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Lisa Lewis scam

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The Securities and Exchange Commission (“SEC”) recently imposed a cease and desist order against Merrill Lynch, Pierce, Fenner & Smith in which the Commission found that Merrill Lynch failed to adequately disclose certain fixed costs in a proprietary volatility index linked to structured notes known as Strategic Return Notes (“SRN”) of Bank of America Corporation (“BAC”). Merrill Lynch offered and sold approximately $150 million of these volatility notes to approximately 4,000 retail investor accounts in 2010 and 2011. The SEC found that the disclosures made it appear as if the volatility product had relatively low fixed costs. The offering materials emphasized that investors would be subject to a 2% sales commission and a 0.75% annual fee. The offering materials failed to adequately disclose a third fixed, regularly occurring cost included in its proprietary volatility index known as the “Execution Factor”. As a result, the disclosures in the offering materials of the fixed costs associated with the Strategic Return Notes were materially misleading.

The SEC found that as an issuer of securities, BAC had a duty to disclose all material information necessary to make statements contained in the retail pricing supplements, in light of the circumstances under which they were made, not misleading. BAC delegated to Merrill Lynch principal responsibility for drafting and reviewing the retail pricing supplements. The SEC found that Merrill Lynch violated Section 17(a)(2) of the Securities Act which prohibits obtaining money or property by means of material misstatements and omissions in the offer or sale of securities.
The SEC deemed it appropriate to impose sanctions against Merrill Lynch, including a civil monetary penalty in the amount of $10 million.

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of investing in Strategic Return Notes at Merrill Lynch, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures

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The Financial Industry Regulatory Authority (FINRA) announced that it fined Fidelity Brokerage Services LLC $500,000 and ordered the firm to pay nearly $530,000 in restitution for failing to detect or prevent the theft of more than $1 million from nine of its customers, eight of whom were senior citizens. Lisa Lewis posed as a Fidelity broker, obtained her victims’ personal information, and systematically stole customer assets through numerous transfers and debit-card transactions.

FINRA found that from August 2006 until her fraud was discovered in May 2013, Lewis was running a conversion scheme by targeting former customers from another brokerage firm from which she had been fired. Lewis told the victims she was a Fidelity broker and urged them to establish accounts at the firm and also established joint accounts with her victims in which she was listed as an owner. She eventually established more than 50 accounts and converted assets from a number of these accounts for her own personal benefit. In June 2014, Lewis pleaded guilty to wire fraud, and was sentenced to 15 years in prison and was ordered to pay more than $2 million in restitution to her victims.

FINRA found that Fidelity failed to detect or adequately follow up on multiple “red flags” related to Lewis’s scheme. FINRA also found that Fidelity failed to detect Lewis’ consistent pattern of money movements and overlooked red flags in telephone calls handled by its customer-service call center in which there were indications that Lewis was impersonating or taking advantage of her senior investor victims. FINRA also found that Fidelity’s inadequate supervisory systems and procedures contributed to the failure to detect and prevent Lewis’s fraudulent activities. Though Fidelity maintained a report designed to identify common email addresses shared across multiple accounts, it failed to implement procedures regarding the report’s use and dedicate adequate resources to the review and investigation of the reports. As a result, there was a backlog in reviewing thousands of reports, including a report in March 2012 showing that Lewis’ email address was associated with dozens of otherwise unrelated accounts. The report was not reviewed by anyone at Fidelity until April 2013, more than a year after it was generated.

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s conduct, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Supervisory Failures

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The Financial Industry Regulatory Authority (FINRA) recently announced that it has ordered Barclays Capital, Inc. (CRD # 19714) to pay more than $10 million in restitution, including interest, to affected customers for mutual fund-related suitability violations. These suitability violations relate to a variety of mutual fund transactions, including mutual fund switches. Additionally, FINRA alleged that the firm failed to provide applicable breakpoint discounts to certain customers. Barclays was also censured and fined $3.75 million.

According to FINRA rules, broker-dealers are obligated to ensure that any recommendations to switch mutual funds are evaluated with regard to the net investment advantage to the investor. FINRA advises that “switching among certain fund types may be difficult to justify if the financial gain or investment objective to be achieved by the switch is undermined by the transaction fees associated with the switch.” A “mutual fund switch” involves one or more mutual fund redemption transactions coupled with one or more related mutual fund purchase transactions.

FINRA found that from January 2010 through June 2015, Barclays’ supervisory systems were not sufficient to prevent unsuitable switching or to meet certain other firm obligations regarding the sale of mutual funds to retail brokerage customers. In particular, the firm incorrectly defined a mutual fund switch in its supervisory procedures to require three separate transactions within a certain time frame. Based on this incorrect definition, Barclays failed to act on thousands of automated alerts for potentially unsuitable transactions, excluded transactions from review for suitability and failed to ensure that disclosure letters were sent to customers regarding the transaction costs. As a result, during the five-year period, there were more than 6,100 unsuitable mutual fund switches resulting in customer harm of approximately $8.63 million.

Additionally, FINRA found that the firm failed to provide adequate guidance to supervisors to ensure that mutual fund transactions for its retail brokerage customers were suitable based upon customer investment objectives, risk tolerance and account holdings. During a six-month look back review, 1,723, or 39 percent of mutual fund transactions were found to be unsuitable, with 343 customers experiencing financial harm totaling more than $800,000, including realized losses.

In addition, FINRA alleged that during the same five-year period, Barclays’ supervisory system failed to ensure that purchases were properly aggregated so that eligible customers could be provided with breakpoint discounts. A six-month look back review by FINRA found that the firm failed to provide eligible customers discounts in Class A share mutual fund transactions.

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

FINRA Bars Brokers George Johnson and Joseph Mahalick and Suspends Broker Christopher Wynne

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The Financial Industry Regulatory Authority (FINRA) recently announced that it has barred broker George Johnson (CRD # 2245802) from the securities industry for engaging in a manipulative trading scheme to artificially inflate the market price and trading volume for the common stock of IceWEB, Inc. (OTCBB: IWEB). FINRA also sanctioned Christopher Wynne (CRD # 7654), Johnson’s supervisor, suspending him for two years in all capacities, barring him in a principal capacity, and fining him $25,000. Joseph Mahalick (CRD # 5563167), another broker who worked with Johnson and Wynne, was suspended for six months and fined $20,000 for falsifying firm records and has been barred from the securities industry in a separate action. Johnson, Wynne and Mahalick all worked for Meyers Associates L.P. in that firm’s Chicago branch office during the time period of the misconduct.

FINRA found that Johnson manipulated the market for IWEB by recommending that certain of his customers buy at increasingly higher and artificially inflated prices while also recommending his other customers sell their shares, frequently matching trades between the customers. FINRA found that among Johnson’s motives for manipulating the stock was the fact that he wanted to obtain business from the issuer for which he would anticipate receiving compensation in connection with a future private offering. Johnson coordinated a campaign with a stock promoter to attempt to increase the stock’s share price to a level that would allow for the exercise of certain warrants.

Brad Bennett, FINRA’s Executive Vice President and Chief of Enforcement, said, “Any broker engaging in manipulative activity poses a threat to market integrity and has no place in the securities industry. The branch office manager, who was the first line of defense in supervising George Johnson’s activities, completely failed to supervise his transactions to ensure compliance with securities laws and FINRA rules.” FINRA also found that Johnson and Wynne sent customers sales materials that omitted information concerning material conflicts of interest and material risks concerning IWEB’s business, and contained misleading, exaggerated and unwarranted information. Moreover, Johnson disclosed confidential information to potential purchasers concerning another offering.

In addition to the IWEB scheme, FINRA found that Johnson committed fraud by recommending that certain of his customers purchase shares of another penny stock without disclosing to them that he was liquidating his own personal positions of the security from his own brokerage accounts. Furthermore, FINRA’s investigation found that to cover up Johnson’s violations of state securities registration requirements, Johnson, Mahalick and Wynne agreed to the practice of entering false information on more than 100 order memoranda, indicating that Wynne or Mahalick was responsible for the account or transactions, instead of Johnson.

George Johnson was registered with the securities industry for twenty three (23) years, and was registered with the following firm(s):

Newport Coast Securities, Inc.
CRD # 16944
Chicago, IL
4/2013 – 2/2016

Meyers Associates L.P.
CRD # 34171
Chicago, IL
11/2011 – 5/2013

Anderson & Strudwick, Inc.
CRD # 48
Chicago, IL
7/2010-12/2011

Jesup & LaMont Securities Corp.
CRD # 39056
Chicago, IL
11/2009-7/2010

Garden State Securities, Inc.
CRD #10083
Chicago, IL
5/2005 – 11/2009

Stifel, Nicolaus & Co.
CRD #793
St. Louis, MO
3/2001-5/2005

Auerbach, Pollak & Richardson, Inc.
CRD # 29824
Stamford, CT
12/2000-3/2001

American Fronteer Financial Corp.
CRD # 1398
Denver, CO
10/1998 – 12/2000

H.J. Meyers & Co., Inc.
CRD# 15609
Rochester, NY
7/1992-10/1998

Christopher Wynne was registered with the securities industry for sixteen (16) years, and was registered with the following firm(s):

Newport Coast Securities, Inc.
CRD # 16944
Chicago, IL
4/2013-2/2016

Meyers Associates, L.P.
CRD # 34171
Chicago, IL
11/2011-5/2013

Anderson & Strudwick, Inc.
CRD 48
Chicago, IL
7/2010-12/2011

Jesup & LaMont Securities Corp.
CRD 39056
Chicago, IL
11/2009-7/2010

Garden State Securities, Inc.
CRD 10083
Chicago, IL
5/2005–11/2009

Stifel, Nicolaus & Co.
CRD 793
St. Louis, MO
3/2001-5/2005

Auerbach, Pollak & Richardson, Inc.
CRD 29824
Stamford, CT
12/2000-3/2001

American Fronteer Financial Corp.
CRD 1398
Denver, CO
11/1999-12/2000

Joseph Mahalick was registered with the securities industry for seven (7) years, and was registered with the following firm(s):

Newport Coast Securities, Inc.
CRD 16944
Chicago, IL
4/2013-10/2015

Meyers Associates, L.P.
CRD 34171
Chicago, IL
11/2011 – 5/2013

Anderson & Strudwick, Inc.
CRD 48
Chicago, IL
7/2010-12/2011

Jesup & LaMont Securities Corp.
CRD 39056
Chicago, IL
11/2009-7/2010

Garden State Securities, Inc.
CRD 10083
Chicago, IL
9/2008-11/2009

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.