Ross Sinclaire Associates LLC a securities broker dealer headquartered in Cincinnati Ohio has been censured and fined $200,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that (1) Ross Sinclaire did not make required disclosures to investors concerning its municipal offering and (2) Ross Sinclaire failed to supervise activities relating to stockbrokers’ direct market…
Robert Steven Clarke of Cincinnati Ohio is a stockbroker formerly registered with Ross Sinclaire & Associates LLC who is the subject of a customer initiated investment related arbitration claim in which the customer sought five hundred thousand dollars in damages founded on allegations that misrepresentations were made to the customer regarding collateralized mortgage obligations products….
Richard Allen Sena, of Cincinnati, Ohio, a stockbroker currently registered with Ross, Sinclaire & Associates, LLC, has been named in a customer initiated investment related arbitration claim on February 22, 2017, in which the customer requested $200,000.00 in damages based upon allegations that Sena made risky municipal debt investment recommendations to the customer which were…
Ross, Sinclaire & Associates, LLC, a broker-dealer headquartered in Cincinnati, Ohio, was censured and fined $214,545.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm, inter alia: made material omissions regarding municipal offerings; failed to conduct adequate due diligence; and failed to supervise investment offerings. Letter of Acceptance, Waiver and…