According to a recent Settlement Order with the Financial Industry Regulatory Authority (FINRA), Bernardo Misseri failed to disclose private securities transactions and an outside business activity to his former firm, Legend Securities. He was suspended for two years and fined $15,000 for this misconduct. This is against securities rules and regulations. Misseri’s former firm, Legend Securities, can be held liable for investment losses. Please call our Chicago-based securities law firm at 312-332-4200 to speak to an attorney about your losses. We may be able to help you bring a claim against Legend Securities in the FINRA arbitration forum on a contingency fee basis. The call is free with no obligation.
Misseri was registered with LCP Capital Corp, R.D. White & Co., Benson York Group, JP Turner & Co., McGinn Smith & Co., and Legend Securities in Staten Island, New York from December 2009 until December 2016. He has eight customer disputes against him, three of which are currently pending. He is not currently registered within the industry, according to his online FINRA BrokerCheck report.
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