Douglas Keith Ellman of Boca Raton Florida a stockbroker currently registered with Shearson Financial Services is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested unspecified damages founded upon allegations that Ellman placed them into inappropriate common and preferred stock between February of 2019 and November of…
Philip Jay Patlis of Boca Raton Florida a stockbroker currently registered with Shearson Financial Services LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Patlis falsely represented that transactions executed in customer accounts were not solicited. Letter of…
Douglas Keith Ellman of Boca Raton Florida a stockbroker formerly employed by Shearson Financial Services LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he mismarked thirty-five customers’ order tickets as having been unsolicited when the orders had…