Joel Eziekel Blum (CRD #4905379, Goshen, New York) Alternate Names: EZIEKEL JOEL BLUM
was fined $10,000 and suspended by FINRA for 20 days for allegedly executing discretionary transactions in client accounts without written authorization to do so from his member firm.
FINRA's findings stated that Blum also allegedly mismarked order tickets in connection with these transactions, inaccurately indicating that the trades were unsolicited when in fact they were solicited.
The suspension was in effect from April 6, 2015, through April 25, 2015.
(FINRA Case #2014040186601)
Joel E. Blum has been registered with this firm since 02/2014:
AMERIPRISE FINANCIAL SERVICES, INC. (CRD# 6363)
25 MAIN ST, STE 3-2, GOSHEN, NY 10924-2144
Joel Eziekel Blum was previously registered with the following firms:
05/2008 - 02/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - MIDDLETOWN, NY
03/2005 - 05/2008 CITIGROUP GLOBAL MARKETS INC. (CRD# 7059) - GOSHEN, NY
The information from FINRA's Disciplinary Report May 2015 ends here.
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