Jamil Ahmed Entered Into An AWC with FINRA

Recently, Jamil Ahmed, a former broker with MSI Financial Services, formerly known as MetLife, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Allegedly, Ahmed borrowed a total over $5,000 from a customer of his firm on at least three occasions in or around 2013. In 2013…

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Customer Complaints Against Christopher Wendell and SA Stone Wealth Management

Former Ohio-based SA Stone Wealth Management broker Christopher Wendell was recently discharged from the firm. Mr Wendell was terminated following allegations he “violated firm policy regarding selling away, unsuitably invested assets in real estate investment trusts and sold low-cost mutual funds to purchase higher-cost mutual funds.” He also recommended unsuitable investments and executed unauthorized trades.…

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Update For Investors: Jeffrey Diehl

According to his most recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Jeffrey Diehl was accused of participating in undisclosed private securities transactions involving $500,000 of purchases of a private offering by three firm customers. Diehl, who was registered with LPL at the time, allegedly provided false attestations…

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