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 resulting from the firm’s failure to enforce supervisory guidelines, according to an Investment News report published on November 21, 2018. FINRA found that H. Beck sold its customers more than…

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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 from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors…

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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 from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors…

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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) was recently sanctioned by FINRA in connection to alleged rule violations stemming from the recommendation and sale of non-traditional exchange-traded funds Established in Maryland in 1984, H.…

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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 barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested…

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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 regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walsh (CRD# 2478773). Steve…

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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 act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…

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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 pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dresselaers (CRD# 1106109). James…

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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). Michael Child has spent seventeen years in the securities industry and has been registered with H. Beck in Salt Lake City, Utah since 2008. Previous registrations include Gunnallen…

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