South Florida Arbitration & Litigation Lawyer Blog
FINRA Arbitration Fraud and Broker Mismanagement Attorney, Russell L. Forkey, Esq.
FINRA Account Executive Enforcement Action:
Evan Seth Rosenfeld (CRD #2788398, Registered Representative, Jericho, New York, formerly licensed with Whitaker Securities, LLC.) submitted an Offer of Settlement in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Rosenfeld’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the allegations, Rosenfeld consented to the described sanctions and to the entry of findings that he failed to timely appear and testify at a FINRA on-the record interview. The suspension is in effect from February 22, 2011, through February 21, 2013. (FINRA Case #2008015395601).
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