Tag Archives: Ladenburg Thalmann & Co. Inc.

Ladenburg Thalmann Sued Unsuitable Recommendations

Simon Michael Mundlak of Miami Florida a stockbroker formerly registered with Ladenburg Thalmann Co. Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $5,000.00 in damages based upon allegations that equity investment recommendations were not suitable for the customer and an inappropriate strategy for equity trading was executed […]

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Ladenburg Thalman Stockbroker Barred

August 17, 2017  |   Posted by :   |   FINRA Securities Arbitration, Unauthorized Trading   |   0 Comments

Elliot Harris, of Boca Raton, Florida, a stockbroker formerly registered with Ladenburg Thalmann & Co. Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his unauthorized and unsuitable trading in customer accounts. Letter […]

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Customer Arbitration Filed Against Ladenburg Thalmann For Fraud

Mark Christopher Hotton, of New York, New York, a stockbroker formerly registered with Ladenburg, Thalmann & Co., Inc., has been named in a customer initiated investment related arbitration claim on April 20, 2016, in which the customer requested $736,000.00 in damages based upon allegations that he breached his contractual duties, violated New Jersey Uniform Securities […]

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