The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.”
Ellen Joyce Erenstein (CRD #3244253, Registered Representative, Boynton Beach, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Erenstein consented to the described sanction and to the entry of findings that she failed to respond to FINRA requests to provide testimony concerning customer complaints prior securities customers and their heirs had filed against her.
(FINRA Case #2010022093401)
This ends the information from FINRA's website.
Securities Attorney, Lars Soreide, of Soreide Law Group, has represented clients nationwide before FINRA. If you 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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