Shaun Evan Stein, of New York, New York, a stockbroker formerly registered with J.P. Turner & Company, L.L.C., has been named in a customer initiated investment related arbitration claim on June 30, 2014, in which the customer requested $75,000.00 in damages based upon allegations that Stein breached his contractual duties owed to the customer, engaged in unfair trade practices, breached his fiduciary duties, effected transactions in the customer’s account which were not suitable, churned the customer’s account, and ultimately defrauded the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on April 10, 2012, a customer filed an investment related written complaint involving Stein’s conduct based upon allegations that Stein placed stock trades in the customer’s account without authorization.
Stein’s registration with J.P. Turner & Company, L.L.C. ended on May 7, 2012. Since May 1, 2014, Stein has been registered with National Securities Corporation.
Guiliano Law Group
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