June 2021-Coral Springs, FL
The FINRA records of Todd F. Sherman , a stockbroker who was last registered with Fusion Analytics Securities disclose a regulatory matter resulting in suspension.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
IN 6/2021 Sherman was suspended by FINRA for six months to resolve allegations that he signed the name of his firm’s CCO on securities deposit approval forms without the knowledge or permission of the CCO.
Sherman was been employed by Fusion Analytics Securities from 3/2013 until 7/2019. Thereafter he was employed by Spartan Capital Securities from 6.2019-7/2020..
Prior to that he was employed by Tigress Financial Partners, Seton Securities Group and before that R.F. Lafferty & Co.
If you have losses in an account in an account handled by Todd F. Sherman , you may be able to recover damages through FINRA arbitration.
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