In June of 2024 Scott Greco represented a client who received a FINRA arbitration award of her full damages, interest, and attorney’s fees against Interactive Brokers regarding an unauthorized money transfer from the client’s account. The case involved the unauthorized access of the Virginia customer’s online account by criminals who transferred funds without the customer’s…
Continue reading ›The Financial Industry Regulatory Authority (FINRA) recently barred a financial advisor from Alexandria, Virginia who had been registered with Wells Fargo Clearing Services LLC. According to the FINRA AWC (Letter of Acceptance, Waiver, and Consent), FINRA began an investigation into whether Paul Trimber “converted a senior customer’s funds for his personal use and benefit…” Mr.…
Continue reading ›FINRA has reported on the Brokercheck report for former advisor Shane Wilhelm that he has been permanently barred from registration with a FINRA Broker-Dealer. The Report states that Mr. Wilhelm was previously registered with Fortune Financial Services and Truist Investment Services, and that he previously had offices in Roanoke, Virginia, Moneta, Virginia, and Lynchburg, Virginia.…
Continue reading ›The local Virginia Securities Fraud Lawyers of Greco & Greco are currently representing multiple Virginia customers of Richmond, Virginia based broker John Starke. These claims for investment losses have been filed in FINRA arbitration against Mr. Starke’s brokerage firm, Centaurus Financial. As shown by Mr. Starke’s FINRA Brokercheck report, found here, in the last two…
Continue reading ›Former Richmond, Virginia Oppenheimer & Co. Inc. financial advisor Warren E. Rowe Jr. was barred from the securities industry by FINRA recently after an investigation related to alleged loans taken from customers. According the the FINRA Letter of Acceptance Waiver and Consent found here, Mr. Rowe refused to provide documents in response to a request…
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