Tag Archives: Ace Diversified Capital Inc.

FINRA Sanctions Ace Diversified For Failure To Supervise

Ace Diversified Capital Inc. a securities broker dealer headquartered in San Gabriel California has been censured and fined $20,000.00 by Financial Industry Regulatory Authority (FINRA) founded on findings that (1) Ace failed to supervise exchange traded funds and exchange traded notes sold by its stockbroker (2) Ace failed to create and maintain a supervision system […]

Read More »

Ace Diversified Capital Sanctioned For Failure To Supervise

Ace Diversified Capital Inc. a securities broker dealer headquartered in San Gabriel California has been censured and fined $20,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that (1) Ace failed to supervise recommendations of non-traditional exchange traded notes and exchange traded funds recommended by one of its stockbrokers (2) Ace neglected to supervise […]

Read More »

Ace Diversified Capital Broker Fined For Unsuitable Recommendations

Omer Ozeren of Los Angeles California is a stockbroker formerly employed by Ace Diversified Capital Inc. who has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he made unsuitable investment recommendations to customers regarding non-traditional exchange traded […]

Read More »