Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.”
SunGard Brokerage & Securities Services LLC (CRD #104162, Geneva, Illinois)
was censured and fined $15,000 by FINRA.
According to the FINRA report, SunGard allegedly failed to establish, maintain, and also enforce their written policies and procedures. These policies and procedures are designed to prevent the execution or display of a short sale order of a covered security at a price that is less than or equal to the current national best bid.
(FINRA Case #2011030752101)
This ends the info from FINRA.
If you experienced losses due to short-sales recommended by your broker/financial advisor, call Soreide Law Group for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552.
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