Articles Tagged with Herbert J. Sims

FINRA-barred New Jersey Broker Robert B. Delguercio Under Investigation Due to 15 Disclosures on his BrokerCheck Report

June 14, 2018 | Silver Law Group

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 after he refused to appear for FINRA-requested on-the-record testimony related to a FINRA arbitration claim filed by his customers.

Robert B. Delguercio’s Extensive List of BrokerCheck Disclosures

Larry C. Wolfe, formerly of Boca Raton, Florida HJ Sims, Under Investigation Over Unauthorized Trading

April 5, 2017 | Silver Law Group

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 unauthorized trading against Wolfe date back to a 1991 FINRA arbitration award and a 2001 settlement. The allegations then ramped up starting in 2010.