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Customer complaint pending against former Financial West and current H. Beck...

A customer complaint is pending with the Financial Industry Regulatory Authority against former Financial West and current H. Beck broker, Bill Fahey (William J. Fahey Jr.). According to Fahey’s FINRA...

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H. Beck, Inc. fined $425,000 – failed to supervise UITs, says FINRA

On March 30, 2015, H. Beck, Inc. was fined $425,000, according to a FINRA issued Letter of Acceptance, Waiver and Consent (AWC) According to the AWC, H. Beck, Inc. failed to apply sales charge...

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Spotlight: H. Beck broker, Michael Child

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Utah-based H. Beck broker/adviser Michael Child (CRD# 3128249)....

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James Dresselaers Has Pending Unsuitability Allegations

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that Maryland-based H. Beck broker/adviser James Dresselaers has been named in a...

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James Jurczak Sanctioned by FINRA for Alleged Outside Business Activity

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that former Maine-based H Beck broker James Jurczak is currently not licensed to...

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Steve Walsh Under Investigation Regarding a Regulatory Complaint

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 21, 2016 indicate that Iowa-based H. Beck broker/adviser Steve Walsh has been named in a pending...

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Gregory Bauer Terminated From H. Beck

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 2, 2016 indicate that former Pennsylvania-based H. Beck broker Gregory Bauer has been permanently...

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H. Beck Submits AWC Over Non-Traditional ETFS

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 9, 2017 indicate that Maryland-based brokerage and advisory firm H. Beck (CRD# 1763)...

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Richard Dane Terminated From H. Beck Over Alleged Unapproved Private...

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 14, 2018 indicate that former Iowa-based H. Beck broker Richard Dane was recently terminated...

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H. Beck Fined $400,000 Over Variable Annuity L-Shares

H. Beck, a Maryland-based broker-dealer firm, has been fined $400,000 by the Financial Industry Regulatory Authority (FINRA) in connection to allegedly unsuitable variable annuity recommendations...

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