Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions” from March 2017:
James Carolan Speno (CRD #431912, New York, New York)
was assessed a deferred fine of $5,000 and suspended from by FINRA for 30 business days for allegedly exercising discretionary power in client accounts in approximately 1,000 transactions.
FINRA’s findings stated that in certain circumstances, James Speno’s member firm allowed the use of discretion with both the firm’s and the client’s prior approvals, but Speno failed to obtain those approvals.
The suspension was in effect from January 3, 2017, through February 14, 2017.
(FINRA Case #2015045057901)
According to FINRA’s BrokerCheck, James Speno has had 45 years of securities experience and has been listed with 11 firms. He is currently not registered in the securities industry. The last three firms he was with are listed below:
08/09/2013 - 04/08/2015 MORGAN STANLEY - NEW YORK, NY
07/16/2008 - 08/12/2013 OPPENHEIMER & CO. INC. - NEW YORK, NY
If you were a client of James Speno of New York and experienced losses due to his recommendations or actions, call Soreide Law Group and speak to a lawyer regarding the possible recovery of your financial loss at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee basis.
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