Latest Securities Lawyer News

Our experts keeping you up to date with our ever changing industry

Read the latest in Security Lawyer news and information

We're here to help victims of broker fraud
June 3, 2015
New York Ameriprise Broker Fined and Suspended by FINRA for Executing Discretionary Transactions in Client Accounts

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 […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2025 Soreide Law Group, PLLC  |  All Rights Reserved