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Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Tag Archives: Stock Broker Misconduct

Florida Broker Suspended for Unsuitable Investment Recommendations

By Staff |

The Financial Industry Regulatory Authority (FINRA) recently announced that Daniel Joseph Hushek III (CRD #4250117), a registered broker based in Sarasota, Florida, has been suspended from the securities industry for a period of fifteen months. According to investigators, Mr. Hushek failed to adequately supervise a representative who was recommending unsuitable investments to clients. Full… Read More »

Brokerage Allegedly Defrauded Investors, Misrepresented Relationship with City of Jacksonville

By Staff |

On August 4th, 2017, FINRA’s Department of Enforcement filed a complaint against CSSC Brokerage Services, Inc. (CSSC) and its principal and CEO Eric S. Smith. Within the document, the Department of Enforcement alleges that Mr. Smith and CSSC defrauded investors by materially misrepresenting the company’s financial condition in a bridge loan securities offering that… Read More »

Florida Broker-Dealer Censured, Fined $100,000 for Penny Stock-Related Misconduct

By Staff |

On July 11th, 2017, FINRA’s Department of Enforcement announced that it reached a settlement with Spartan Securities Group, LTD (CRD No. 104478), a registered brokerage firm, based in Clearwater, Florida. Without admitting to or denying any misconduct, Spartan Securities accepted penalties that include a: Public censure; and $100,000 fine. These penalties were brought against… Read More »

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