A First Standard Financial and National Securities Corporation broker, Jeffrey Broten [CRD#: 1006678], has been barred from the securities industry in connection with a FINRA investigation into his potentially unsuitable and unauthorized trading while associated with a member firm, as a review of the FINRA BrokerCheck database reveals.
Jeffrey Broton worked at the National Securities Corporation for eight years before joining First Standard Financial in 2018. At least one customer has alleged that he placed them in unsuitable investments and caused $100,000 in damages.
Lawyers in Fishman Haygood’s Investment Fraud Division are actively monitoring regulatory actions and other broker-dealer disciplinary actions to stay up-to-date on the latest developments in the industry.
If you believe that you may have suffered financial losses due to the misconduct of a financial professional, please contact us as we may be able to help.
