Tag Archives: Benjamin Jerold Brokerage

FINRA Investigates Benjamin Jerold Stockbroker

June 03, 2020  |   Posted by :   |   Failure To Supervise   |   Comments Off on FINRA Investigates Benjamin Jerold Stockbroker

Terence Patrick Dolan Jr. of Miami Florida a stockbroker formerly employed by Benjamin Jerold Brokerage I LLC has been identified in a Financial Industry Regulatory Authority (FINRA) investigation in which it has been initially recommended by the regulator for Dolan to face disciplinary action for failing to supervise securities transactions. Investigation Nos. 20170539737 and 20170553345 […]

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FINRA Bars Benjamin Jerold Stockbroker In Investigation

January 09, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Juergen Weber of New York New York a stockbroker formerly registered with Benjamin Jerold Brokerage I LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Weber neglected to cooperate with FINRA when he was investigated for effecting transactions in customer accounts without their […]

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FINRA Bars Benjamin Jerold Stockbroker For Obstruction

Rand Alan Heckler of Glen Cove New York a stockbroker formerly registered with Benjamin Jerold Brokerage I LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Heckler failed to cooperate with a FINRA investigation into allegations of (1) Heckler misappropriating funds […]

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