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…
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…
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…