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Articles Tagged with overconcentration

Timothy Atyeo (CRD#: 1544728), a registered representative with Oppenheimer & Co. Inc. in Fort Lauderdale, Florida, is currently involved in a customer dispute in which claimants allege “negligence, breach of fiduciary duty, misrepresentation and over concentration and speculative trading in the energy sector,” according to his BrokerCheck record accessed on September 6, 2019. The claimants […]

Jason K. Williams (CRD#: 4676003) was permitted to resign from Thurston Springer Financial on February 8, 2019 after he made unauthorized comments in an online forum regarding “a stock held in his own account and in the accounts of his clients,” according to his BrokerCheck report accessed on September 3, 2019. His recent resignation is […]

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

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