Benjamin Arnold Kuehn of Sandy Utah a stockbroker formerly registered with E*Trade Securities LLC is referenced in a customer initiated investment related written complaint on January 27, 2017 where the customer requested $6,211.00 in damages based upon allegations that mutual fund transactions placed in the customer’s account were not suitable for the customer. FINRA Public…
Steven Mark Newman, of Houston, Texas, a stockbroker with E*Trade Securities LLC, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity per a FINRA Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Newman engaged in unauthorized outside business activities. Department of…