Articles Posted in Herbert J. Sims

Silver Law Group is investigating former Herbert J. Sims & Co. Inc. (“HJ Sims”) broker Robert B. Delguercio (CRD# 2639851) after FINRA permanently barred him from the acting as a broker or otherwise associating with a brokerage firm. According to Delguercio’s FINRA BrokerCheck report, FINRA barred the New Jersey-based broker…

Silver Law Group is investigating former Boca Raton, Florida-based Herbert J. Sims & Co. Inc. (CRD# 3420) (“HJ Sims”) broker Larry Charles Wolfe (CRD# 502361) after five (5) customers filed complaints alleging unauthorized trading. According to Wolfe’s FINRA BrokerCheck report, Wolfe has thirteen (13) disclosures. Allegations of churning, unsuitability and…