Dean Mustaphalli (DEAN SADRUDIN MUSTAPHALLI ) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Dean Mustaphalli.
In July 2014 Dean Mustaphalli was suspended by FINRA from 2014-2016 from practicing as a broker. Dean Mustaphalli worked for his own Mustaphalli Capital Partners Fund, L.P. in New York.
Dean Mustaphalli was previously associated with Sterne Agee Financial Services, Citigroup Global Markets, and Citicorp Investment Services.
FINRA alleges that Dean Mustaphalli engaged in the following misconduct: using a “bait and switch” tactic to solicit funds from investors, and then using this capital to invest in risky stock options .
More recently, in June of 2017 the New York Attorney General’s Office charged Dean Mustaphalli of committing elder financial fraud, losing perhaps millions for customers.
Dean Mustaphalli has been the subject of at least 18 customer disputes.
If you invested money through Dean Mustaphalli, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.
