|

October 19, 2011

Weston, Florida, Broker Jeffrey Scott Donner, Named in FINRA Complaint

business man holding his head with text asking questions about stock broker misconduct

Jeffrey Scott Donner (CRD #2631248, Registered Principal, Weston, Florida)

was named as a respondent in a FINRA complaint alleging that he executed transactions in the accounts of customers at his member firm without their prior knowledge, authorization or consent.

This complaint alleges that Donner exercised discretion in a customer’s account and

effected securities transactions without the the customer’s prior written authorization or his firm’s written acceptance of the account as discretionary. The complaint also alleges that Donner’s firm did not permit discretion to be utilized in retail brokerage accounts.

Further, the complaint alleges that while Donner was registered with his firm, he exchanged business-related emails with customers, using a personal email account that the firm did not approve, and Donner did not forward to his firm any of the emails sent to or received from customers at his personal email address contrary to his firm’s WSPs that require email communication between registered representatives and customers be reviewed by the firm. In addition, the complaint alleges that by using his personal email address to communicate with customers, Donner prevented his firm from accessing these customer communications and complying with its obligations to review correspondence between registered representatives and their customers.

The complaint alleges that by using his personal email address to communicate with customers and failing to forward the customer communications to his firm, Donner prevented the firm from complying with its recordkeeping requirements. (FINRA Case #2009020228501)

This information was obtained on FINRA's website under "Disciplinary Actions," October, 2011.

Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family ember have sustained a stock/securities loss through Jeffrey Scott Donner of Weston, FL, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com

Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.

Recent Posts

August 17, 2026

Jeffrey L Bangerter of Concorde Investments & Formerly of Berthel Fisher

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]

August 17, 2026

THEODORE W BYRER Suspended by FINRA

THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]

August 13, 2026

MARK L SULLIVAN Fined and Suspended

MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]

Contact us Nationwide USA

2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062

Phone: 1-888-760-6552
Fax: 1-954-760-6553
Email: info@securitieslawyer.com

Helping clients recover money across the USA