Posts Tagged ‘unsuitable investments’
Gregory O’Brien Subject of Client Allegations Regarding Unsuitable Use of Margin
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…
Read MoreTim Vanlohuizen, Idaho Broker, Involved in $450,000 Worth of Customer Disputes
Tim Vanlohuizen (CRD#: 2166867), a registered representative with Sagepoint Financial, Inc. (CRD#: 133763) in Coeur d’Alene, Idaho, is currently involved in two pending customer disputes, according to his BrokerCheck record accessed on April 1, 2020. The customers are seeking a total of $450,000 in damages. Most recently, on February 4, 2020, a client alleged that…
Read MoreHouston, Texas Broker Maria Hendershott Involved in $175,000 Dispute Over Overconcentration
Maria Hendershott (CRD#: 818681), a registered representative with Raymond James & Associates in Houston, Texas, is currently engaged in a customer dispute in which a client alleges “unsuitable investments, misrepresentations and omissions, [and] overconcentration,” among other allegations, according to her BrokerCheck report accessed on October 3, 2019. The client, who filed the complaint on August…
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