Gerald Lee Brodsky of New York New York a stockbroker formerly registered with Dinosaur Financial Group L.L.C. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Brodsky failed to cooperate with an investigation concerning his outside business activities. Letter of Acceptance, Waiver and Consent No. 2019061083602 (Aug. 29, 2019).

According to the AWC, Brodsky was sent a letter from FINRA personnel on May 17, 2019 calling upon him to provide information and documentation to the regulator as part of an investigation into of his outside business activities. Apparently, Brodsky was expected to cooperate with FINRA under Rule 8210 by providing a response no later than May 31, 2019.

The AWC stated that Brodsky obtained legal counsel who procured an extension from FINRA allowing Brodsky until June 14, 2019 to produce the information and documentation. Brodsky provided a response to FINRA on June 14, 2019 but it did not address FINRA’s request in full. Apparently, FINRA was subsequently made aware from Brodsky’s legal counsel that Brodsky was not willing to provide any additional documentation to FINRA in the course of the investigation into his outside business activities. FINRA found Brodsky’s conduct violative of FINRA Rules 2010 and 8210, which resulted in him being barred from the securities industry.

Brodsky’s registration with Dinosaur Financial Group L.L.C. has been terminated as of October 19, 2016. The AWC stated that Brodsky attempted to register with John W. Loofbourrow Associates Inc. on September 7, 2018 but his registration was not authorized by FINRA. Brodsky has been associated with at least one securities broker dealer who has been expelled by a securities regulator for violation of federal securities laws or who is otherwise defunct.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

1700 Market Street, Suite 1005
Philadelphia, PA 19103
Direct: (215) 413-8223
Toll Free: (877) 732-2889

1260 South Soto Street, Suite 7
Los Angeles, California 90023
Direct: (213) 255-3475
Toll Free: (877) 732-2889

2750 NE 185th Street, Suite 302
Aventura, Florida 33180-2877
Direct: (786) 490-2413
Toll Free: (877) 732-2889

See Important Disclaimer

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)