Articles Tagged with Brookstreet Securities Corp

Stoltmann Law Offices is investigating Lizabeth Ty, a broker with Park Avenue Securities in Houston, Texas. Yy has three pending customer complaints according to her online, public Financial Industry Regulatory Authority (FINRA) BrokerCheck report. FINRA filed a complaint against Ty investigating the circumstances of the sale of unregistered securities. Ty has three pending customer complaints regarding the sale of promissory notes outside of her brokerage firm. This is also referred to as “selling away,” and is a tactic used by brokers to generate large commissions for themselves, without having to share the commissions with their member firm.

Ty was registered with Ameritas Investment Corp in Lincoln, Nebraska from February 2004 until April 2004, Brookstreet Securities Corp in San Juan Capistrano, California from April 2004 until November 2004 and Park Avenue Securities in Houston, Texas from January 2006 until July 2015. She has three customer disputes against her, all of which are currently pending. She is not licensed within the industry and has FINRA has permanently barred her from acting as a broker or otherwise associating with firms that sell securities to the public.

Stoltmann Law Offices is investigating David O. Braeger, a former registered representative with Newport Coast Securities in Irvine, California. The Financial Industry Regulatory Authority (FINRA) filed a complaint against him, alleging that he misappropriated or stole $30,000 from a couple. The couple gave Braeger the money in 2009 in order to invest in Rubicon Capital Appreciation Fund, a fund managed by Braeger. Braeger never invested the money in the fund, and told the couple that Rubicon was still an open fund, when, in fact, it wasn’t. Rubicon closed in 2010. This is against securities rules and regulations.

Braeger was previously registered with McLaughlin, Piven, Vogel Securities Inc., Painewebber Inc., Bear, Stearns & Co., Mesirow Financial, Everen Securities, Raymond James, Sanders Morris Harris, Legg Mason Wood Walker, AG Edwards & Sons, Delta Equity Services Corp, Brookstreet Securities Corp, Newport Coast Securities in Irvine, California from October 2008 until May 2012, Accelerated Capital Group, Arque Capital Ltd., and Midtown Partners in New York, New York from January 2014 until July 2014. He has one regulatory matter against him which is currently pending and is not licensed within the industry, according to his public, online FINRA BrokerCheck report.

Did you or someone you know lose money with Jon Sanchez of Independent Financial Group in Reno, Nevada? If so, please contact our securities law firm in Chicago, Illinois for a free consultation with an attorney. You may be able to sue his firm, Independent Financial Group, for not reasonably supervising Sanchez, which resulted in investment losses. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Sanchez was the subject of three customer complaints.

He was registered with Salomon Smith Barney in New York, New York from December 1993 until February 1999, Brookstreet Securities Corp in San Juan Capistrano, California from February 1999 until August 2002, Securities America in Stateline, Nevada from July 2002 until January 2006, QA3 Financial Corp in Reno, Nevada from January 2006 until August 2010 and Morgan Stanley in Reno from August 2012 until June 2013. He is currently registered with Independent Financial Group in Reno and has been since June 2013. He has three customer disputes against him, two of which are currently pending.

Stoltmann Law Offices is investigating Matthew Ray Jennings, a former broker with Westmoore. Jennings was barred from the industry by the Financial Industry Regulatory Authority (FINRA). The Securities and Exchange Commission (SEC) sanctioned him because he misused investor funds to operate an undisclosed-like ponzi scheme. Jennings was registered with Montano Securities Corporation in Orange, California from July 1993 until January 1995, Titan/Value Equities Group Inc in Irvine, California from December 1994 until April 1995, Brookstreet Securities Corp in San Juan Capistrano, California from April 1995 until March 1996, Del Mar Financial Services in Irvine from March 1996 until August 1996, San Clemente Securities in San Clemente from September 1996 until April 1997, Miller, Johnson & Kuehn Inc. in Minneapolis, Minnesota from April 1997 until March 1998, C.K. Cooper & Co. in Irvine from July 2001 until March 2002, Mission Capital Investment Group in Corona Del Mar from October 1997 until January 2003, and Westmoore Securities in Anaheim, California from July 2002 until January 2009. He is not currently licensed and the SEC permanently barred him from acting as a broker and investment adviser.

If you invested money with Matthew Ray Jennings, please call our securities law firm at 312-332-4200 to speak with an attorney about your options. We sue firms such as Westmoore for failing to properly supervise advisers such as Jennings in the FINRA arbitration process. The call is free with no obligation. We take cases on a contingency fee basis only.

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