Amy Elizabeth Elias, of Jersey City, New Jersey, a stockbroker formerly registered with E*Trade Securities LLC, has been named in a customer initiated investment related arbitration claim, in which the customer was awarded $10,000.00 in damages on April 14, 2016, based upon allegations that Elias effected unsuitable government debt transactions in the customer’s account, breached her fiduciary obligations to the customer, and committed fraud.
Financial Industry Regulatory Authority (FINRA) Public Disclosure further reveals that on July 15, 2010, a customer filed an investment related written complaint involving Elias’s conduct, in which the customer requested $2,300,000.00 in damages based upon allegations that Elias induced the customer’s purchase of auction rate securities based upon misrepresentations.
Elias’ registration with E*Trade Securities LLC was terminated on May 1, 2012. Since April 26, 2012, Elias has been registered with Citigroup Global Markets.
Guiliano Law Group
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To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
