In March 2014 the Financial Industry Regulatory Authority barred Miami, FL, broker Bruce Francis Supanik from the industry.
FINRA findings state that FINRA requested that Supanik appear and provide on the record testimony in relation to the events related to being fired by his firm for allegations that he transferred the balance of a customer’s account at the firm containing over $500,000 to the joint checking account he shared with the customer. Supanik then withdrew the balance from the joint checking account and deposited it into his personal bank account.
According to FINRA records Supanik is not currently registered . His previous registration history includes:
3/2005- 3/2013 The O.N. Equity Sales Co.
7/2002-3/2005 Associated Securities Corp
If you have questions about the way your brokerage account has been handled, call to speak with an experienced securities attorney.
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