Albert Dishner, of New York, New York, a stockbroker formerly registered with Credit Suisse Securities (USA) LLC, has been named in a customer initiated investment related arbitration claim, which settled on December 30, 2016, for $205,000.00 in damages based upon allegations that include churning, excessive trading, violation of state and federal securities laws, violation of Financial Industry Regulatory Authority (FINRA) rules, breach of contract, and breach of fiduciary duty. The customer also alleged that between 2010 and 2015, Credit Suisse Securities failed to appropriately supervise Dishner’s activities concerning the customer’s investment account.
FINRA Public Disclosure reveals that Dishner has been identified in three additional customer initiated investment related disputes containing allegations of Dishner’s misconduct while employed with Credit Suisse Securities (USA) LLC and Salomon Smith Barney Inc. Particularly, on February 5, 1998, a customer filed an investment related complaint involving Dishner’s conduct, based upon allegations that Dishner effected unsuitable and unauthorized mutual fund and limited partnership interest transactions, and churned the customer’s account.
Subsequently, on November 29, 2007, a customer initiated investment related complaint regarding Dishner’s activities was settled for $28,000.00 in damages based upon allegations that Dishner effected eBay stock transactions in the customer’s account without authorization. Moreover, on August 7, 2012, a customer filed an investment related complaint involving Dishner’s conduct, in which the customer requested $354,000.00 in damages based upon allegations that Dishner failed to execute the customer’s instructions to liquidate equity securities, and effected unauthorized transactions in the customer’s investment account.
Guiliano Law Group
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