Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Regina Loeks (Loeks), currently associated with Pershing LLC / Pershing Advisor Solutions LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loeks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $51,271.00 on June 13, 2024.
Customer alleges that on a call with Regina Loeks, Client Processing Associate, on May 7, 2024, they requested that their position in White River Energy Corp (“WTRV”) and White River Energy Corp warrants (“WTRVW”) be liquidated and transferred to their new custodian. The WRTV warrants required exercising prior to liquidation but Ms. Loeks submitted a request incorrectly to liquidate the warrants instead of exercising. The WRTV shares were not sold as they were not in the account at the time of request.
