Bloomberg Tradebook LLC (CRD #40881, New York, New York)
was censured, fined $140,000 and required to revise its written supervisory
procedures (WSPs) by FINRA. Allegedly, Bloomberg Tradebook LLC executed short sale and short sale exempt transactions, and failed to report each of these transactions to the FINRA/NASDAQ Trade Reporting Facility (FNTRF) with a short sale or short sale exempt modifier.
FINRA's findings stated that allegedly Bloomberg Tradebook’s supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to the applicable securities laws and regulations and FINRA rules. Bloomberg Tradebook’s WSPs failed to provide the minimum requirements for the accurate reporting of short sales and short exempt sales to the FNTRF.
FINRA Case (#2012033435501)
This ends the summation of information from FINRA's "Disciplinary and Other FINRA Actions January 2015."
Call (888) 760-6552 for your free consultation with an attorney if you feel your investment losses are due to your broker/dealer or financial advisor's recommendations. Soreide Law Group represent clients nationwide before FINRA.
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com