Articles Posted in LaSalle St. Securities

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Broker Samuel Jacobs in Lasalle St Securities, L.l.c. Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Jacobs (Jacobs), currently associated with Lasalle St Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Jacobs recommended unsuitable investments in different investment products including debt securities among other…

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There are Recent Customer Complaints with Broker Timothy Cleveland in Firm Lasalle St Securities, L.l.c.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Cleveland (Cleveland), currently associated with Lasalle St Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Cleveland recommended unsuitable investments in different investment products including debt securities among other…

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There are Recent Customer Complaints with Broker David Love in Firm Lasalle St Securities, L.l.c.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Love (Love), previously associated with Lasalle St Securities, L.l.c., has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Love recommended unsuitable investments in different investment products including debt…

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FINRA Bars Thomas Stamborski Over Outside Business Activity Disclosures

The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Thomas Stamborski (Stamborski) working out of Palatine, Illinois alleging that the broker failed to disclose certain changes to an outside business activity.  According to the FINRA regulatory action (FINRA…

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H. Beck, LaSalle, and J.P. Turner Sanctioned for Inadequate Supervision of Consolidated Reports

The Financial Industry Regulatory Authority (FINRA) sanctioned three firms, H. Beck, Inc. (H. Beck), LaSalle St. Securities, LLC (LaSalle), and J.P. Turner & Company, LLC (JP Turner) – with fines of $425,000, $175,000 and $100,000, respectively concerning inadequate supervision of consolidated reports provided to customers. As a background, a consolidated…

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LaSalle St. Securities Sanctioned Over Private Placements Part II

This article continues the examination of the findings by The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), concerning LaSalle St. Securities, LLC (LaSalle) private placement deficiencies.  FINRA also found that LaSalle served as the placement agent for a 2009 private placement offering by Revitalight…

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LaSalle St. Securities Fined Over Private Placement Sale Related Misconduct Part I

The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm LaSalle St. Securities, LLC (LaSalle) over allegations that staff found certain deficiencies with respect to: 1) a private placement offering involving Seat Exchange Corporation where LaSalle failed to exercise adequate due diligence before…

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