Jordan S. Berlin Investigation
May 2022-Garden City, NY
According to publicly available records, Jordan S. Berlin, a former Wilmington Capital Securities broker discloses a prior customer dispute.
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 12/2019, in FINRA case #19-03680, a customer of Berlin’s former employer FSC Securities alleged failure to supervise and negligence in connection with the sale of REITS. That case settled for $87,500.
Berlin was employed by Wilmington Capital Securities from 10/2019-1/2022. Before that time he was with Citigroup and FSC Securities. Berlin is not currently registered with any FINRA broker dealer.
If you had an account with Jordan S. Berlin that suffered losses, you may be entitled to collect damages from his employer. Call to discuss your options.
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.
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