Articles Tagged with Concorde Investment Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on April 15, 2025.

Client is claiming losses due to poor recommendation for investments made in 2019 and 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on April 15, 2025.

Client is claiming losses due to poor recommendation for investments made in 2019 and 2020.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Maher (Maher), currently associated with Concorde Investment Services, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Maher  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $54,000.00 on July 28, 2023.

Complaint is alleging suitability, breach of fiduciary duty, and churning, relating to investments made in 2014 and 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Kuiper (Kuiper), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuiper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 01, 2023.

Customer alleges violation of California Common Law Fraud, Breach of Fiduciary Duty, Negligence and Negligent Failure to Supervise relating to the investments made on 08/31/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Huber (Huber), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 11, 2025.

Clients are alleging that rep failed to recommend suitable investments resulting in significant losses. Activity occurred from 2019 to 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Harrison (Harrison), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrison recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on March 28, 2025.

Claim is alleging negligence, breach of fiduciary duty, fraud, misrepresentation, and violation of Alabama Securities Laws, in relation to investment made in October of 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Harrison (Harrison), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harrison recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $125,000.00  on February 10, 2025.

Statement of claim alleges Breach of Fiduciary Duty, Violation of FINRA Rules, Breach of Contract, and Negligence related to investment made in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lowther (Lowther), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowther recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $125,000.00 on September 19, 2024.

Client alleges that investment recommendation was unsuitable and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Zigouras (Zigouras), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zigouras recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 10, 2025.

Client is alleging that the agent misrepresented the terms of policy purchased in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bangerter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $85,000.00 on December 20, 2024.

Client is alleging suitability and breach of fiduciary duty relating to investments made in 2024.

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