Benjamin Brown Jr. (CRD #3091206, Jamaica, New York)
was assessed a deferred fine of $5,000 and suspended by FINRA for 10 business days for allegedly effecting option transactions while exercising discretion in a customer’s account without the customer’s prior written authorization to exercise such discretion and without his member firm’s written permission to engage in such discretionary trading.
The suspension was in effect from November 3, 2014, through November 14, 2014. (FINRA Case #2013035710101)
Benjamin Brown Jr was registered in the securities industry for four years and was previously registered with the following securities firm(s):
05/2013 - 12/2013 SALOMON WHITNEY LLC (CRD# 145012) - FARMINGDALE, NY
02/2012 - 05/2013 WHITEWOOD GROUP, INC (CRD# 2509) - GREAT NECK, NY
11/2011 - 12/2011 TRIDENT PARTNERS LTD. (CRD# 41258) - WOODBURY, NY
08/2011 - 11/2011 GLOBAL ARENA CAPITAL CORP (CRD# 16871) - MELVILLE, NY
11/2009 - 08/2011 NATIONAL SECURITIES CORPORATION (CRD# 7569) - MELVILLE, NY
10/2009 - 12/2009 ECKARD INVESTMENT SERVICES, INC. (CRD# 2711) - BOERNE, TX
The above information is from FINRA’s website "Disciplinary and Other FINRA Actions, December 2014," and it ends here.
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