Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.”
Kapil Shashikant Shah aka Shah Shashikant Shah (CRD #4409290, Registered Principal, Jersey City, New, Jersey)
was barred from association with any FINRA member in any capacity. The sanction was based on findings that Shah failed to respond to a FINRA request for information and documents in connection with an investigation that Shah made unsuitable recommendations and misrepresentations to a customer. The findings stated that FINRA sought information about Shah’s relationship with the customer, the rationale for the transactions in the customer account, whether the customer authorized certain transactions and whether the customer gave Shah discretionary control over the account. Shah informed FINRA that he was not going to respond to the information request, and consistent with his expressed intent, has not provided the requested information.
(FINRA Case #2011027840902)
Shah Shashikant Shah, according to FINRA's BrokerCheck, was previously registered with FINRA at the following brokerage firms:
NEWPORT COAST SECURITIES, INC.
CRD# 16944
HICKSVILLE, NY
04/2008 - 08/2011
INVESTORS CAPITAL CORP.
CRD# 30613
JERSEY CITY, NJ
12/2007 - 04/2008
WUNDERLICH SECURITIES, INC.
CRD# 2543
MEMPHIS, TN
07/2007 - 11/2007
This ends the information obtained on FINRA’s website.
Call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
Zachary Cuyler Green, also known as Zach Green (CRD: 5714566), is a securities broker based in Raleigh, North Carolina. A client has claimed investment losses in a complaint involving Green, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Green worked with Merit Financial Advisors since May 8, 2025, and Purshe Kaplan Sterling Investments since May […]
Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
Investors might have sustained losses due to securities broker Donald Paul Robbins [CRD: 4364668, Waxhaw, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robbins has been registered with MML Investors Services LLC as a broker since April 8, 2016, and as a financial advisor since April 12, 2016. Keep reading […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]