Tag Archives: David Khezri

Worden Capital Stockbroker Under FINRA Investigation

September 16, 2021  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Worden Capital Stockbroker Under FINRA Investigation

David Khezri of Melville New York a stockbroker formerly registered with Worden Capital Management and Network 1 Financial Securities Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) investigation in which the regulator recommended that Khezri face disciplinary action for possible violations of FINRA rules and securities laws pertaining to excessive and unsuitable […]

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Joseph Stone Sued By Investors For Negligence

June 08, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Stockbroker Negligence, Unauthorized Trading   |   Comments Off on Joseph Stone Sued By Investors For Negligence

David Khezri of Holbrook New York a stockbroker formerly employed by Joseph Stone Capital LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $235,635.00 in damages founded on accusations of negligence and the breach of a fiduciary duty by Khezri as it pertained to stock trades executed in […]

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Cape Securities Stockbroker Suspended For Unauthorized Trading

April 20, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

David Khezri, of Holbrook, New York, a stockbroker formerly registered with Cape Securities, Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2015044589701 (Sept. […]

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