Articles Tagged with Ridgeway Conger

AdobeStock_33766885-1-300x200According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Mark Schklar allegedly participated in private securities transactions by recommending and facilitating the sale of shares in a company that manufactured equipment used to grow marijuana. This occurred between February 2013 and January 2015, and Schklar did not disclose this to his member firm. Schklar also allegedly loaned $80,000 to customer without obtaining approval from his firm. This is also against securities laws. For this, he was fined $10,000 and suspended for eight months.

Schklar was registered with H.L. Camp & Co.,Heidtke & Co., J.C. Bradford & Co., Dickinson & Co., Birchtree Financial Services, FAS Wealth Management Services, Roan-Meyers Associates, Bergen Capital, Scott & Stringfellow, BB&T Securities and Ridgeway & Conger in New Woodstock, New York from January 2015 until May 2016. He has five customer disputes against him and is currently not registered within the industry. Please call our law firm today if you suffered losses with Mr. Schklar. We may be able to help you recover them on a contingency fee basis. The call to us is free with no obligation. 312-332-4200.

According to a recent release by the Financial Industry Regulatory Authority (FINRA), Philip and Kenley Brisard were barred from the industry. Both allegedly sold an unregistered security that consisted of interest-only strips from loans issued by the United States Small Business Administration (SBA) that were only for Qualified Institutional Buyers (QIBs) to individual retail investors using general solicitation emails. The emails materially misrepresented the product and the role of the Brisard’s in its development. FINRA found that the material misrepresentations and omissions in the statements the Brisard’s made to their clients could have caused them not to have made an informed decision about their investments, and this is against securities rules. Nor did the Brisard’s attempt to determine whether any of the investors to whom they sold were QIBs. Both were former firm members of Ridgeway & Conger in Jericho, New York.

If you were sold investments by Philip and/or Kenley Brisard, please call our law firm today at 312-332-4200 to speak to an attorney about your options of recovering your losses. The call is free with no obligation. We take cases on a contingency fee basis only, so we only recover money if you do. There is a statute of limitations with most of these cases, so please call soon. Their former firm, Ridgeway & Conger, may be liable for losses.

Stoltmann Law Offices is investigating Mark Schklar, a former broker with Ridgeway & Conger in New York. Schklar allegedly recommended unsuitable investments in municipal bonds, breached fiduciary duty, acted negligently, misrepresented material facts and committed fraud. These are all against securities rules and regulations. Schklar was registered with HL Camp & Company, Heidtke & Company, JC Bradford & Co., Dickinson & Co., Birchtree Financial Services, FAS Wealth Management Services, Roan-Meyers Associates, Bergen Capital, Scott & Stringfellow, BB&T Securities and Ridgeway & Conger in New Woodstock, New York from January 2015 until May 2016. He has five customer disputes against him. He is not licensed within the industry. If you suffered losses with Mark Schklar, please call our securities law firm in Chicago to discuss your options for free with one of our attorneys. The call is free with no obligation.

Stoltmann Law Offices is investigating David Gray, a former investment adviser with Cambridge Investment Research. Gray was accused of stealing money from an elderly customer, and he recently pled guilty to theft from an at-risk victim (which means either an elderly or disabled victim.) After he was investigated by the Securities and Exchange Commission (SEC) Gray was sentenced to eight years in prison and ordered to pay restitution of $263,418. If you or someone you know lost money with David Gray, please call our securities law offices in Chicago to speak to an attorney about your options. You may be able to sue Cambridge in the Financial Industry Regulatory Authority (FINRA) forum for not reasonably supervising Gray and allowing him to make transgressions against his customers. We sue firms such as Cambridge on a contingency fee basis in order to recover losses. Please call today. The call is free with no obligation. 312-332-4200.

Gray was registered with The Stuart-James Company, Inernational Securities Group, Sprung and Wise Securities, R A F Financial Corp, Dean Witter Reynolds, Hanifen, Imhoff Securities Corp, Jesup & Lamont, BC Christopher Securities, Neidiger, Tucker, Bruner Inc., Barringer Ryan Vance, Equity Services, BMA Financial, Nathan & Lewis Securities, Cambridge Investment Research in Greenwood Village, Colorado from September 1999 until August 2013 and Ridgeway & Conger. He is not currently registered with any firm. He has one customer dispute against him and one criminal disposition. He is not licensed within the industry and the SEC barred him from acting as a broker and investment adviser, or otherwise associating with firms that sell securities or provide investment advice to the public.

Stoltmann Law Offices is investigating George Koulouris, a registered representative with KCD Financial. Koulouris is accused of recommending unsuitable investments, engaging in outside business activities, acting negligently, breaching fiduciary duty, and negligently misrepresenting material facts, among other things. These are all against securities rules and regulations. According to his online FINRA BrokerCheck report, Koulouris was registered with John Hancock Distributors, Nathan, Lewis & Grant, Chase Lincoln First Brokerage Services, Merrill Lynch, Prudential Securities, Janney Montgomery Scott, Essex Capital Markets, McDonald Investments, Pinnacle Investments and Ridgeway & Conger. He is currently registered with KCD Financial in Manlius, New York and has been since 2014. He has seven customer disputes against him, one of which is currently pending. Please call our law offices in Chicago today to speak to an attorney for free if you feel you may have a case against Koulouris. We may be able to sue KCD Financial on your behalf in the FINRA arbitration forum. The call to us is free with no obligation. 312-332-4200.

Stoltmann Law Offices is investigating Kenley Brisard, Philip Brisard and Leigh Garber of Ridgeway & Conger, a registered broker-dealer out of New Woodstock, New York. According to a complaint filed with the Financial Industry Regulatory Authority (FINRA), Brisard, Brisard and Garber sold an unregistered security that consisted of interest-only strips from loans issued by the United States Small Business Association to five individual retail investors at undisclosed markups of 14-33% using general solicitation emails that fraudulently misrepresented the product and their involvement with the product. The brokers allegedly sent more emails that were fraudulent and contained misrepresentations and omissions to 115 additional customers and prospects between June and August 2010. Ms. Garber gave her written approval for the sale of the unregistered securities to the five customers even though the sales were against securities rules and regulations. Ms. Garber was the designated supervisor for the sale of private placements. She is also currently the President and Chief Executive Officer of Ridgeway & Conger. Both Brisard’s are registered representatives at the firm.

It is against securities rules and regulations for a firm to fail to establish and maintain a proper supervisory system and procedures. It is also against securities rules and regulations for a firm to use fraudulent emails and to misrepresent and omit material facts in those emails or other marketing materials. It is because of these transgressions that the firm can be sued in the FINRA arbitration process. If you or someone you know lost money with Kenley or Philip Brisard, or Leigh Garber and/or Ridgeway & Conger, please call our securities law firm in Chicago for a free consultation with an attorney. The firm has a responsibility to oversee all of its employees actions and if it does not, can be held liable for investment losses. We take cases on a contingency fee basis only so we only make money if you recover yours.

Kenley Brisard and Philip Brisard were registered with HGI, Ash & Co., IAR Securities Corp, National Securities Corp, Raymond James and Gunnallen Financial. Both are currently registered with Ridgeway & Conger in New Woodstock, New York and have been since March 2009. Kenley Brisard has one customer dispute against her and Philip Brisard has four against him. He also has one criminal disposition.

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