Jeffrey Alan Glusman Allegedly Engaged in Selling Away & lack of supervision, & a Customer is Requesting $550 K in Damages
Jeffrey Glusman allegedly engaged in selling away/loans/lack of supervision, and a customer is requesting $550,000 in damages, all according to a customer complaint disclosed in publicly available records maintained by the Financial Industry Regulatory Authority (FINRA).
Said action allegedly occurred in 2013, and said claim is still pending and was filed on April 23, 2018, FINRA states. Glusman denies the allegations, FINRA notes.
The investor rights lawyers at Goldman Scarlato & Penny law firm are investigating Mr. Glusman’s conduct to determine whether any investors may have claims for alleged selling away/loans/lack of supervision. Investors may contact investor rights attorney Alan Rosca to provide information or inquire about their legal options.
Glusman has no other customer disputes, FINRA reports.
Jeffrey Alan Glusman Has 16 Years in the Securities Industry with Three Different Firms, & is Currently Registered with Suntrust Investment Services, Inc.
Jeffrey Alan Glusman has 16 years in the securities industry with three different firms, and has been registered with Suntrust Investment Services, Inc. since February 23, 2018, FINRA states.
Glusman also worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Lauderdale, Florida from February 22, 2006 until December 20, 2017, and also was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY from September 18, 2001 until August 31, 2005, FINRA notes.
Glusman is also registered in 45 states, FINRA reports.
Brokerage firms such as Suntrust Investment Services, Inc. have a responsibility to adequately supervise all of their registered representatives who are employed through their firm, to prevent violations of securities rules and regulations. Brokerage firms also must initiate action to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. If and when brokerage firms fail to adequately supervise their registered representatives, they may be held liable for investment losses sustained by customers.
Securities Lawyer Investigating
The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Jeffrey Alan Glusman’s alleged selling away/loans/lack of supervision. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to securities class actions.
If you or a loved one or a friend has lost money investing with Jeffrey Glusman, you may contact attorney Alan Rosca or his colleagues for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at firstname.lastname@example.org, or through the contact form on this webpage.