Investors might have sustained losses due to securities broker Mitchell Manoff [CRD: 815314, New York, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mitchell Manoff has been registered with Corinthian Partners LLC since July 2, 1996. See the following information to find out more about the disclosures involving this securities broker.
Particularly, a Corinthian Partners LLC client filed FINRA Arbitration No. 23-02495 about Mitchell Manoff. Mainly, the client alleged that Manoff failed to supervise certain representatives. For this reason, the investor allegedly sustained damages relating to corporate bonds. Consequently, on August 14, 2024, Corinthian Partners LLC settled this matter by paying the client $23,500 in damages.
Also, FINRA issued Case: 2016047621801 on March 18, 2019 sanctioning Mitchell Manoff for infractions. Allegedly, Manoff failed to create and maintain an adequate supervisory system and written supervisory procedures related to the sale of non-traditional exchange-traded products, and also failed to properly oversee a representative’s recommendations, including ignoring warning signs such as extended holding periods and large concentrated trades. Regulators stated that this conduct violated NASD Rule 3010 and FINRA Rules 3110 and 2010, which require firms and supervisors to maintain effective supervision and uphold fair business practices. As a result, Manoff was suspended from acting in a principal capacity for 30 business days and fined $10,000.
Did you experience losses because of Mitchell Manoff? You should contact Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of clients throughout the US. Also, our securities attorneys work on a contingency fee basis and advance all costs. Manoff and brokerage firms Manoff worked for deny any accusations of sales practice violations.
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