The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.”
Steven Jay Oshinsky (CRD #2339197, Registered Principal, Boca Raton, Florida)
was suspended from association with any FINRA member in any capacity for one year.
Without admitting or denying FINRA's allegations, Oshinsky consented to the described sanction and to the entry of findings that he failed
to timely respond to FINRA requests for documents and information to investigate his potential failure to disclose tax liens and outside business activities on his Form U4.
FINRA's findings stated that Oshinsky’s failure to timely respond impeded FINRA’s investigation.
The suspension is in effect from December 17, 2012, through December 16, 2013.
(FINRA Case #2012030894301)
This ends the information from FINRA’s website.
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, represents clients nationwide before FINRA. If you or a loved one have sustained investment losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
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