David Lee Shafranek (CRD #2919901, Long Beach, New York)
was fined $10,000 and suspended by FINRA for 20 business days allegedly, without his member firm’s knowledge or approval, participated in private securities transactions by soliciting at least four of his firm’s clients to invest in a start-up company.
FINRA's findings stated that the firm’s policies and procedures prohibited its registered representatives from participating in private securities transactions not associated with the firm.
The suspension was in effect from January 5, 2015, through February 2, 2015.
(FINRA Case #2014040781601)
David Lee Shafranek has been registered in the securities industry for 17 years and is currently registered with the following securities firm:
PROSPERA FINANCIAL SERVICES, INC. (CRD# 10740)
50 Main St., Suite 1000, White Plains, NY 10606
This broker was previously registered with the following securities firms:
05/2007 - 04/2014 CITIGROUP GLOBAL MARKETS INC. (CRD# 7059) - BRONX, NY
05/2004 - 05/2007 CITICORP INVESTMENT SERVICES (CRD# 23988) - BRONX, NY
02/2003 - 04/2004 BANC ONE SECURITIES CORPORATION (CRD# 16999) - CHICAGO, IL
12/1999 - 01/2003 CITICORP INVESTMENT SERVICES (CRD# 23988) - LONG ISLAND CITY, NY
10/1998 - 11/1999 MAY, DAVIS GROUP INC. (CRD# 35622) - NEW YORK, NY
FINRA expelled the firm in 06/2006
01/1998 - 10/1998 H.J. MEYERS & CO., INC. (CRD# 15609) - ROCHESTER, NY
FINRA expelled the firm in 03/1999
08/1997 - 12/1997 FIRST UNITED EQUITIES CORPORATION (CRD# 36398) - NEW YORK, NY
This summation of info obtained on FINRA's website, "Disciplinary and Other Actions February 2015" ends here.
Soreide Law Group represents clients nationwide before FINRA. Call and speak to an attorney at no cost on how to potentially recover your financial losses due to your broker/financial advisor's recommendations: 888-760-6552.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]
Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]