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.
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com