Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.”
Dean Sadrudin Mustaphalli (CRD #2792038, Commack, New York)
has been named a respondent in a FINRA complaint. This complaint alleges that over a six-month period, Dean S. Mustaphalli formed and acted as managing director of a hedge fund and sold approximately $6 million in investments. Mustaphalli received compensation for managing this hedge fund, and did not provide prior written notice to his member firm regarding his role as managing director.
FINRA's complaint alleges that Mustaphalli refused to provide a list of the hedge fund clients or account statements he controlled.
(FINRA Case #2013036880302)
According to FINRA's BrokerCheck, Dean Sadrudin Mustaphalli was previously registered with the following securities firm(s):
Registered Dates Firm
12/2009 - 09/2011 STERNE AGEE FINANCIAL SERVICES, INC. (CRD# 18456) - FOREST HILLS, NY
05/2007 - 12/2009 CITIGROUP GLOBAL MARKETS INC. (CRD# 7059) - JAMAICA, NY
07/1998 - 05/2007 CITICORP INVESTMENT SERVICES (CRD# 23988) - JAMAICA, NY
03/1997 - 02/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
09/1996 - 11/1996 ROYCE INVESTMENT GROUP, INC. (CRD# 10494) - WOODBURY, NY
This summation of information from FINRA's website ends here.
If you suffered financial losses due to the recommendation of your broker/financial advisor, call Soreide Law Group for a free consultation with an attorney at: (888) 760-6552.
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