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...
View ArticleH. 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...
View ArticleSpotlight: 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)....
View ArticleJames 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...
View ArticleJames 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...
View ArticleSteve 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...
View ArticleGregory 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...
View ArticleH. 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)...
View ArticleRichard 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...
View ArticleH. 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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