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Category Archives: broker

FINRA Bars Invest Financial Corporation Broker Roger Kroeger

By Gregory Tendrich, P.A. |

Roger Kroeger (CRD: 1526864) is a prior stockbroker of Invest Financial Corporation located in Fort Lauderdale, Florida who Financial Industry Regulatory Authority (“FINRA”) has barred in all capacities pursuant to Letter of Acceptance, Waiver and Consent No. 2017056614402 dated September 5, 2018. According to FINRA Department of Enforcement, Kroeger failed to appear for testimony… Read More »

Wells Fargo Broker Suspended For Defaulting On Promissory Note

By Gregory Tendrich, P.A. |

Darren Thomas Walton (CRD: 2936629) is a former registered representative of Wells Fargo Advisors, LLC located in Los Angeles, California. According to Walton’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile, he has been suspended in all registration capacities by FINRA on December 1, 2017 for failing to repay a loan to Wells Fargo Advisors,… Read More »

Investor Bulletin: 10 Investment Tips for 2016

By Gregory Tendrich, P.A. |

Whether you are a first-time investor or have been investing for years, here are ten tips from the SEC’s Office of Investor Education and Advocacy to help you make more informed investing decisions and avoid common scams in 2016. Always check the background of an investment professional − it is easy and free. Details… Read More »

SEC Charges Rhode Island Broker With Running $11 Million Ponzi Scheme

By Gregory Tendrich, P.A. |

On May 7, the U.S. Securities and Exchange Commission charged a Rhode Island investment adviser with running what amounted to a Ponzi scheme. The SEC alleges Patrick Churchville used his one-man company, ClearPath Wealth Management, LLC, to defraud investors out of millions of dollars. The SEC has asked a federal judge in Providence to… Read More »

Texas Securities Regulators Order Unregistered Broker to Pay Back His Victims

By Gregory Tendrich, P.A. |

Securities fraud and stockbroker fraud are not just federal matters. Florida and other states utilize their own securities regulators who are charged with protecting the public from unregistered and unlicensed brokers who defraud investors. For example, on April 7, the Texas State Securities Board (TSSB) announced a plea agreement with Robert P. McGann, an… Read More »

Missing Boater Returns: Former Boca Financial Adviser was Listed as Missing Two Weeks Ago

By Gregory Tendrich, P.A. |

By Matt Morgan, Palm Beach Post Staff Writer mmorgan@pbpost.com A boater who went missing about two weeks ago has returned to his home and admitted that he orchestrated his disappearance to escape his legal problems, according to the Palm Beach County Sheriff ’s Office.   Richard Ohrn, 44, went missing off the coast of Boca Raton… Read More »

SEC Fines Broker $10 Million for Laundering Penny Stocks

By Gregory Tendrich, P.A. |

On January 27th, the U.S. Securities and Exchange Commission said New York-based broker Oppenheimer & Co., Inc., admitted to multiple violations of federal securities laws and agreed to pay a $10 million civil penalty. The SEC’s order cited two series of illegal activities by Oppenheimer. Both involved Oppenheimer acting as an intermediary for unregistered… Read More »

Precious Metals Just as Risky as Other Investments

By Gregory Tendrich, P.A. |

Gold, silver and other precious metals are often considered “safe” investments relative to stocks and securities. But there is no such thing as a no-risk investment. Precious metals are subject to price fluctuations like any other investment. More importantly, not all precious metal investments are the same. Often, people purchase gold and silver through… Read More »

The Basics of “Secured Notes”

By Gregory Tendrich, P.A. |

Investors should always be skeptical about complicated-sounding investments that promise to minimize or eliminate risk. One such type of investment is known as a “structured note.” This describes any hybrid security that includes multiple financial products. Structured Notes Structured notes are linked to some other index or security. Here is a simple example of… Read More »

WSJ Warns Florida Seniors About Broker Free Lunch Seminars

By Gregory Tendrich, P.A. |

The Wall Street Journal recently analyzed where most of nation’s estimated 630,000 stockbrokers work and found at least five “hot spots” in Florida alone. The Journal identified Palm Beach County as having “one of the highest rates of troubled brokers” in the country, largely due to the presence of a high number of persons… 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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