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.
Investors apparently complained about securities broker Matthew Robert Westberry (also known as Matt Westberry) [CRD: 4908745, Marion, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Westberry worked for SCF Securities Inc. from February 28, 2022, to October 23, 2024, and previously worked for LPL Financial LLC from August 10, 2018, to […]
Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]
Investors potentially experienced sales practice violations by securities broker Scott Thomas Schaul [CRD: 2200484, Attleboro, Massachusetts], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schaul worked for Essex Securities LLC from March 22, 2010, to August 6, 2019, Pinnacle Investments LLC from June 28, 2019, to April 13, 2026, and has […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com