Ian Greenblatt (CRD #2276966, aka “Eric Green”) is a registered broker currently employed with Capitol Securities Management, Inc. (CRD #14169) of Melville, NY. His previous employers include Capitol Securities & Associates, Inc. (CRD #7278), Westrock Advisors, Inc. (CRD #114338, expelled by FINRA on 1/18/2011), both of Melville, NY and Weatherly Securities Corporation (CRD #11081), of New York, NY. He has been in the industry since 1992.
During the meeting, they allegedly discussed re-investing their funds to try and recover the losses they suffered with the firm by depositing the money with CSMI’s clearing firm. Unfortunately, Greenblatt was not able to recover their losses, and the customers filed for arbitration against Greenblatt in August of 2017.
As a result, Greenblatt was suspended for 30 days, and fined $10,000. He signed an Acceptance, Waiver & Consent (AWC) letter, agreeing to all sanctions. The suspension ran from 10/15/2018 through 11/13/2018. The fine was paid in full on 10/9/2018.
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