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Articles Tagged with William Galvin

Robert S. Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC of Lake Oswego, Oregon, does business as Peregrine Private Capital Corporation and specializes in alternative investments. He is currently involved in a $1.1 million dispute regarding private placements, according to his BrokerCheck report accessed on September 3, 2019. According to his broker […]

Dean Kajouras (CRD#: 1436548), currently a registered representative with Fordham Financial Management, Inc. of New York, New York is being sued for breach of fiduciary duty, according to his BrokerCheck report accessed on August 6, 2019. On June 8, 2019, Dean Kajouras became involved in a customer dispute in which a client alleges, “misrepresentation, breach […]

A news release published by the Massachusetts Secretary of the Commonwealth’s office on March 8, 2019 reports that William Galvin, the Secretary of the Commonwealth, opened an investigation into allegations that Wells Fargo Advisors made “inappropriate referrals of brokerage customers to managed and advisory accounts” as well as unsuitable investment recommendations and unsuitable referrals. Fitapelli […]

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