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FINRA Sanctioned Broker, Robert P. Allen, For Allegedly Engaging In Unapproved Outside Business Activities

December 22, 2019

Robert P. Allen (CRD # 6267678) was a former Financial Advisor at Country Capital Management Company in Augusta, GA. Robet Allen has been in the securities industry since 2013. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 13, 2019, FINRA sanctioned Robert Allen for allegedly engaging “in an…

Former Kingsbury Capital Broker, Michael J. Collins, Suspended And Fined By FINRA For Allegedly Engaging In Unapproved Private Securities Transactions

December 3, 2019

Michael Jason Collins (CRD # 2915653) was a Financial Advisor at Kingsbury Capital, Inc. in Evanston, IL. Michael Collins has been in the securities industry since 1999 and previously worked at Robert W. Baird & Co., Morgan Stanley and Citigroup Global Markets. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

Former NY Life Securities Broker, David Kendrick, Suspended By FINRA For 18 Months For Allegedly Engaging In Unapproved Private Securities Transactions

November 25, 2019

David Kendrick (CRD # 4384666) was a Financial Advisor at NY Life Securities in Shreveport, Louisiana.  David Kendrick previously worked at Lincoln Financial Advisors Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 20, 2019, David Kendrick was suspended by FINRA for 18 months and fined $30,000 for…

Former JP Morgan Securities Broker, Robert Pachciarz, Suspended and Fined By FINRA For Allegedly Engaging In Unapproved Private Securities Transaction

September 17, 2019

Robert Pachciarz (CRD # 5337955) is a former Financial Advisor at JP Morgan Securities, Inc. in Naperville, IL.  Robert Pachciarz has been in the securities industry since 2007 and previously worked at Chase Investment Services Corp.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2019, FINRA suspended and…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

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Suite 7
Atlanta, GA 30326

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Indianapolis, IN 46032

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New York, NY 10016

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Suite 400
Dallas, TX 75201

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Suite 205
Portland, OR 97220

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Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis