Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more. On June 18, 2020, a…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California-based Securities America broker/adviser Arlon Enmeier has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Enmeier (CRD# 1000999). Arlon Enmeier…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Massachusetts-based Winslow Evans & Crocker broker/adviser Shawn Devillier has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Devillier (CRD# 1730798). Shawn…

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Publicly available records provided by the Securities and Exchange Commission (SEC) on June 24, 2016 indicate that the SEC has filed charges against four companies and eight individuals in connection to a purported “$80 million oil and gas fraud” allegedly conducted by the CEO of Breitling Energy Corporation, Chris Faulkner. The securities and investment fraud…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Minnesota-based Signator Investors broker/adviser Thomas Hokr has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hokr (CRD# 1194034). Thomas Hokr has…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former Arizona-based Independent Financial broker Mary Helen Mallett, also known as Caprice Mallett and Mary Helen Caprice Mallett, has received numerous settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Wen has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wen (CRD# 2833693). Howard Wen…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former South Carolina-based Raymond James broker Claus Foerster has been charged with fraud and wire fraud. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Foerster (CRD#…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former California-based Financial West Group broker Jeffrey Gieseke is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on June 13, 2016 indicate that Boston-based Race Rock Capital broker Catherine Sheridan has been suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Sheridan (CRD# 1203915). Catherine Sheridan has spent…

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