Archive

Tag Archives: Frederick Scott Levine

FINRA Sanctions Oppenheimer Stockbroker For Unsuitable Recommendations

August 27, 2020 | Posted by : Guiliano Law Group | Excessive Trading, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations | Comments Off

Frederick Scott Levine of Florham Park New Jersey a stockbroker formerly registered with Oppenheimer Co. Inc. has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Levine made unsuitable rollovers of unit investment trusts in Oppenheimer customer accounts. Letter of Acceptance Waiver […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

FINRA Sanctions Oppenheimer Stockbroker For Unsuitable Recommendations

For a Free Evaluation of Your Claim

All Inquires Are Confidential.

See Important Disclaimer

Categories