Tag Archives: Spencer-Winston Securities Corporation

FINRA Sanctions Spencer Winston Stockbroker For Using Blank Forms

January 10, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Ezri Shechter (also known as Eddie Shechter) of Jersey City New Jersey a stockbroker currently registered with Spencer Winston Securities Corporation has been fined $12,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that (1) Shechter executed unauthorized transactions in customer accounts […]

Read More »

Investor Brings Arbitration Claim Against Spencer Winston For Negligence

July 31, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Vincent Michael Bruno of New York New York a stockbroker currently employed by Spencer Winston Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought damages estimated to exceed $5,000.00 based upon allegations of (1) negligence (2) breach of contract and (3) breach of fiduciary duty pertaining to […]

Read More »

Regulator Suspends Spencer-Winston Stockbroker

August 02, 2017  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

James Benjamin Fellus, of New York, New York, a stockbroker formerly registered with Spencer-Winston Securities Corporation, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to communicate with FINRA about his compliance with a customer initiated investment related settlement arrangement or arbitration […]

Read More »