Stoltmann Law Offices continues to investigate Joseph Yanofsky, who recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). According to his AWC, Yanofsky allegedly exercised discretion in nine customer accounts without authorization. He also, beginning in June 2014, allegedly directed a subordinate employee on numerous occasions to enter certain trades using the login credentials of another registered representative, causing order tickets to be inaccurate. These are against securities rules and regulations. For this, he was suspended from the industry for 20 days and fined $10,000.
According to his online BrokerCheck report with FINRA, Yanofsky was previously registered with Merrill Lynch, E.F. Hutton & Company, Painewebber Inc., Hanifen, Imhoff Inc. and Merrill Lynch in Greenwood Village, Colorado from February 1990 until May 2015. He is currently registered with First Financial Equity Corp in Greenwood Village, and has been since June 2015. He has eight customer disputes against him. Please call us today at 312-332-4200 in order to speak to an attorney for a no-cost, no-obligation consultation. We take cases on a contingency fee basis only, which means we only make money if you recover yours. We sue firms like Financial Equity Corp in the FINRA arbitration forum.
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