Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.”
Mohamed S. Hassan aka Max Hassan (CRD #5108964, Registered Representative, Sunnyvale, California)
was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hassan failed to provide testimony as FINRA requested.
FINRA's findings stated that after Hassan’s member firm filed an amendment to his Form U5, FINRA began an investigation into Hassan’s conduct in connection with his submission of variable annuity documents, and FINRA requested that he appear and provide testimony.
(FINRA Case #2010023435701)
According to FINRA's BrokerCheck Max Hassan was previously registered with FINRA at the following brokerage firms:
PARK AVENUE SECURITIES LLC
CRD# 46173
SAN FRANCISCO, CA
11/2010 - 12/2011
NYLIFE SECURITIES LLC
CRD# 5167
SAN MATEO, CA
10/2008 - 06/2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD# 2881
SAN JOSE, CA
06/2007 - 06/2008
This ends the information obtained from FINRA’s website.
Soreide Law Group represents clients nationwide before FINRA. If you have sustained investment losses due to your stock broker/financial advisor’s recommendations, call for a free consultation with an attorney on how to potentially recover those losses: 888-760-6552.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com