RedFlag, Allegation and/or Complaint against SCOTT DAVID SILBERBERG
Disclosure #1 for SCOTT SILBERBERG
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- Event Date: 5/28/2014
- Disclosure Type: Regulatory
- Resolution: Final |FDA Docket:CME-14-9852-FC
- AAO Docket: 14-9852
- Initiated By: CHICAGO MERCANTILE EXCHANGE
- Allegations: ON JUNE 18, 2014, A PANEL OF THE FLOOR CONDUCT COMMITTEE FOUND THAT ON MAY 28, 2014, SILBERBERG MADE A BID OR OFFER THAT CONFUSED OTHER TRADERS. THE PANEL FOUND THAT IN SO DOING, SILBERBERG VIOLATED CME RULE 514.A.2.
- Resolution: Consent |Sanctions: Civil and Administrative Penalty(ies)/Fine(s) |Amount: $500.00
- Sanctions: THE PANEL IMPOSED A FINE OF $500.
Should I file a FINRA complaint against brokers like SCOTT DAVID SILBERBERG?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:44 pm
