July 2016-New York
The FINRA records of Sperry R. Younger , a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose a currently pending regulatory event, a currently pending customer dispute, 3 prior finalized customer disputes, a pending financial event and 6 outstanding judgement/liens.
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 the currently pending regulatory matter, FINRA Case 2013037522501, FINRA alleges that while employed by NMS Capital Securities, Younger made misrepresentations to FINRA by providing false testimony regarding backdated memoranda and that Younger failed to establish and maintain a reasonable supervisory system at his member firm and that he failed to reasonably supervise individuals at the firm
In the currently pending customer dispute, a customer of J. Streicher Capital alleges that Younger failed to undertake or perform advisory and capital raising services on behalf of Mullen Technologies pursuant to a signed agreement. Damages of $54,466 are sought.
Sperry R. Younger has been employed by NMS Capital Advisors since 10/2015. Prior to that he was employed by a number of firms, including: Avenir Financial Group, J. Streicher Capital and Rothschild Lieberman .
Sperry discloses the filing of Chapter 7 bankruptcy in the Southern District of New York and 6 pending judgements/liens.
If you have questions about an account handled by Sperry R. Younger call to learn how you may be entitled to collect 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.
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