INVESTORS: Aegis Capital broker Thomas Edison Kelly Jr. was named in a customer dispute alleging various forms of misconduct. Thomas Edison Kelly Jr. (CRD: 2877415)[...]
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INVESTORS: Former Spartan Capital broker Thomas James Baumann is under investigation by FINRA following allegations of churning, excessive trading, and unsuitable investment recommendations. Thomas James[...]
Kelly is currently facing three pending customer disputes seeking a combined total of over $550K in damages. The Sonn Law Group is investigating allegations that[...]
INVESTORS: Former Spartan Capital Securities broker Terry Tzagarakis was barred by FINRA following allegations he excessively traded in customer accounts. Terry Tzagarakis (CRD: 2796055) was[...]
INVESTORS: Aegis Capital broker Dennis Daniel Herrera was named in a customer dispute alleging unsuitability, breach of contract, and breach of fiduciary duty. Dennis Daniel[...]
This scholarly article was written by Jeffrey Sonn, Esq., Jennifer P. Farrar, Esq., and Kirk Reasonover, Esq. It contains over 6,000 words and would certainly[...]