July 15, 2015-
Jeffrey Howard Auerbach , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040 and FINRA Rule 2010 by participating in three private securities transactions without first seeking and receiving written approval from his FINRA member firm.
AWC NO. 2014039856801
Auerbach was fined $15,000 and suspended for 90 days.
According to FINRA records, Auerbach has been registered with Kuhns Brothers Securities Corp. since April 2013. Prior to that he was registered with Westor Capital Group, National Securities Corp. and Finance Investments, Inc.
Kuhns Brothers Securities has been registered since 1999 and is headquartered in Lakeville, CT.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900