Tag Archives: E*Trade Securities LLC

Customer Accuses E*Trade Of Misconduct

June 21, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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E Trade Securities Stockbroker Suspended For Making Bad Bets

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 […]

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