A National Securities Arbitration & Investment Fraud Law Firm
Allegations of mismarking solicited trades as unsolicited follow this West Palm Beach broker from firm to firm. William Bruckner is accused of mismarking solicited trades as unsolicited and by doing so, violating his member-firm policy. Originally employed by Sanford C. Bernstein & Co., LLC in West Palm Beach, Florida from…
Failure to disclose criminal charges results in $5,000 fine and suspension During a 15-year career in the securities industry, Miami-based broker Mikell Simmons has seen a total of six disclosure events on his official record, the most recent of which includes a one-month suspension and a $5,000 fine. According to…
Broker faces $25,000 fine and 9 month suspension for excessive trading As a broker in the securities industry for over 29 years, Douglas J. Dannhardt recently settled a FINRA disciplinary action relating to allegations of excessive trading in a customer’s account. According to the FINRA BrokerCheck website, Dannhardt’s first disclosure…