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Monthly Archives: August 2018

Morgan Stanley’s Stewart Malloy Charged With Failing To Testify to FINRA

By Gregory Tendrich, P.A. |

Stewart Clinton Malloy (CRD: 1029931) is a former registered representative of Morgan Stanley located in Riverhead, New York. Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement filed a Complaint against Malloy on August 24, 2018 (Disciplinary Proceeding #2016051299201) alleging that he violated FINRA Rules 8210 and 2010 by twice failing to testify in an… Read More »

Customers File Suits Against B. Riley & Co. For Mismanaging Accounts

By Gregory Tendrich, P.A. |

Norman Joel Caris (CRD: 40535) is a registered representative of B. Riley FBR, Inc. based in Los Angeles, California. According to Caris’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck file, he was previously referenced in five customer-initiated, investment-related disputes containing allegations of sales practice violations which include suitability, account mismanagement, excessive commissions, and fraud. Those… Read More »

Ameriprise Fined Millions For Failing To Protect Customers From Misappropriation

By Gregory Tendrich, P.A. |

Ameriprise Financial Services Inc. (CRD: 6363) is a Securities and Exchange Commission (SEC) registered broker-dealer and investment adviser based in Minneapolis, Minnesota, who has been censured and ordered to pay a $4,500,000.00 civil penalty as part of resolving the SEC’s allegations that the firm neglected to establish and apply procedures and policies with a… Read More »

Customers Suing Morgan Stanley Over Unsuitable Equities

By Gregory Tendrich, P.A. |

Kirk J. Gill (CRD: 2291503) is a former Morgan Stanley financial advisor from Tucson, Arizona. According to Gill’s FINRA BrokerCheck file, he is currently, or was previously, referenced in fifteen customer-initiated, investment-related disputes (comprised of complaints or FINRA arbitrations) containing allegations of sales practice violations including unsuitable trading, unauthorized trading, misrepresentation, breach of contract… Read More »

Customer Complaint Filed Against Ameriprise’s Michael Jay Pepe

By Gregory Tendrich, P.A. |

Michael Jay Pepe (CRD: 1172861) is an Ameriprise Financial Services, Inc. broker based in the Tampa, Florida area. According to Pepe’s FINRA BrokerCheck profile, he is currently, or was previously, the subject of at least six customer-initiated, investment-related disputes (comprised of complaints or arbitrations) containing allegations of sales practice violations including unauthorized and unsuitable… Read More »

Gregory Tendrich, PA
Gregory Tendrich, P.A. serves clients throughout Florida, including the cities of West Palm Beach, Palm Beach, Delray Beach, Boynton Beach, Boca Raton, Port St. Lucie, Lake Worth, Wellington, Riviera Beach, Palm Beach Gardens, Fort Pierce, Vero Beach, Hobe Sound, Jupiter Island, North Palm Beach, Lake Park, Lantana, Stuart, Palm City, Jensen Beach, Tequesta and Juno Beach and represents clients in Palm Beach County, Martin County, St. Lucie County, Indian River County and throughout Florida.

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