Richard Allen Sena, of Cincinnati, Ohio, a stockbroker currently registered with Ross, Sinclaire & Associates, LLC, has been named in a customer initiated investment related arbitration claim on February 22, 2017, in which the customer requested $200,000.00 in damages based upon allegations that Sena made risky municipal debt investment recommendations to the customer which were not suitable in light of the customer’s risk tolerance.
Sena was previously suspended from associating with any National Association of Securities Dealers (NASD) member in any capacity pursuant to a Decision & Order of Offer of Settlement containing findings that Sena failed to effect securities transactions at prevailing market rates; but rather, engaged in adjusted trading practices. Case No. C05900002 (Apr. 1, 1991). NASD found Sena’s conduct to be violative of Securities Exchange Act of 1934 Section 10(b), and Rule 10b-5.
Guiliano Law Group
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