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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Tag Archives: David Khezri
Worden Capital Stockbroker Under FINRA Investigation
September 16, 2021 | Posted by : Guiliano Law Group | Churning, Excessive Trading, Investment and Regulatory News, Unsuitable Investment Recommendations | Comments Off on Worden Capital Stockbroker Under FINRA Investigation
Joseph Stone Sued By Investors For Negligence
June 08, 2020 | Posted by : Guiliano Law Group | 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 […]
Read More »Cape Securities Stockbroker Suspended For Unauthorized Trading
April 20, 2017 | Posted by : Guiliano Law Group | 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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