Stoltmann Law Offices is investigating James Speno, who was recently fined $5,000 and suspended from the industry for 30 business days by the Financial Industry Regulatory Authority (FINRA). Speno was accused of exercising discretionary power in client accounts in approximately 1,000 transactions. This is against securities rules and regulations. Speno was registered with Peidmont Capital Corp, 76 Securities Sales Corp, Lehman Brothers, Sussex Securities, Merrill Lynch, Lehman Brothers, Salomon Smith Barney, RBC Capital Markets Corp, Oppenheimer & Co. and Morgan Stanley in New York, New York from August 2013 until April 2015. He is currently not registered within the industry. Please call our securities law firm today at 312-332-4200 to speak to an attorney for free. We may be able to help you bring a claim against Morgan Stanley for your investment losses.
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