Published On: February 15, 2017

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Diana Stamborski was fined $5,000 and suspended from the industry for two months. While registered with LaSalle St. Securities, she allegedly participated in outside business activity without providing written notice to her firm. She also failed to make required disclosure of the outside business activity in response to the firm’s annual compliance questionnaire. Both of these are against securities rules and regulations. Stamborski and her direct supervisor were involved in various outside business activities, one of which was a financing and factoring company owned by her husband, who was also registered with LaSalle St. Stamborski received $3,800 from the company in commissions.

According to her FINRA BrokerCheck report, Stamborski was registered with Francis Manzo & Company from February 1984 until June 1985, Brook Investments from September 1985 until October 1986, LaSalle St. Securities from October 1986 until December 1986, Whytecliffe Securities from August 1986 until January 1988, R.D. Kushnir & Co. in Northbrook, Illinois from September 1989 until October 1994, Foundation Investors Securities from January 1994 until September 1995 and LaSalle St. Securities in Palatine, Illinois from October 1995 until December 2014. She has one customer dispute against her, which is pending.

If you were a victim of Diana Stamborski, and you would like a free consultation with an attorney about how to recover your losses, please call our securities law firm at 312-332-4200 to speak to an attorney about your losses. We are Chicago and Barrington, Illinois-based lawyers who sue firms such as LaSalle St. Securities in the FINRA arbitration process on a contingency fee basis. The call is free with no obligation, so please call today.

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