Tag Archives: Dakota Securities International Inc.

FINRA Bars Dakota Stockbroker For Failure To Pay Arbitration Award

Christopher Russell McNamee (also known as Christian Russell McNamee) of Miami Florida a stockbroker formerly registered with Dakota Securities International Inc. has been sanctioned by Financial Industry Regulatory Authority (FINRA) on August 17, 2017 supported by allegations of McNamee’s failure to inform the regulator about whether he complied with his obligations to pay a customer […]

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Dakota Securities Expelled For Failure To Supervise

March 28, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Dakota Securities International Inc. a brokerage firm headquartered in Florida, and Bruce Martin Zipper (the president, Chief Executive Officer and Chief Compliance Officer of Dakota Securities International) have been sanctioned by Financial Industry Regulatory Authority (“FINRA”) according to a National Adjudicatory Council Decision which affirmed a Hearing Panel’s findings that (1) Zipper associated with the […]

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Zipper Stuck Dakota Securities Expelled By FINRA

June 30, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Dakota Securities International Inc. has been expelled from Financial Industry Regulatory Authority (FINRA) membership according to an Office of Hearing Officers Hearing Panel Decision containing findings that the firm failed to supervise its vice president Bruce M. Zipper and enabled Zipper to associate with the firm despite FINRA having disqualified him. Department of Enforcement v. […]

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FINRA Fines Dakota Securities International President

March 07, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Robert Brian Lefkowitz of Miami Florida is the chief executor officer of Dakota Securities International Inc. who has been fined five thousand dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he enabled an individual subject of FINRA disqualification to make investment […]

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Dakota Securities International Stockbroker Suspended

Christopher Russell McNamee, of Miami, Florida, a stockbroker formerly registered with Dakota Securities International, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to provide a response to FINRA staff’s request for information relating to McNamee’s business activities. Letter No. 2013035303302 […]

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Dakota Securities International Under Investigation

June 13, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Bruce Martin Zipper, of Miami, Florida, a stockbroker currently registered with Dakota Securities International, Inc., has been identified in a Financial Industry Regulatory Authority (FINRA) investigation into allegations that he may have violated the terms of a suspension that FINRA imposed upon him for violations of FINRA Rules. Particularly, Zipper was fined and suspended from […]

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