Securities Arbitration Lawyers BlogJeffrey L. Offen, Employed by 17 Different Firms, Suspended by FINRA
Silver Law Group is investigating New York-based broker Jeffrey L. Offen (CRD# 2893980) after FINRA suspended him.
According to Offen’s FINRA BrokerCheck report, FINRA suspended Offen for 60 days and fined him $5,000 in December 2016. Offen consented to the sanctions and entry of findings that he failed to timely update his Form U4 to disclose reportable information.
Offen has 16 disclosures on his BrokerCheck report, but most of them are civil and tax judgment/liens. Two (2) FINRA arbitration complaints were settled against him, though.