June 7, 2023 – An AWC was issued in which Benjamin was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Benjamin consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into the circumstances giving rise to an amended Form U5 filed by his member firm.
The findings stated that the amended Form U5 disclosed that the firm had received a written customer complaint alleging unauthorized transactions and misappropriation/defalcation by Benjamin while he was associated with the firm. (FINRA Case #2022075106101)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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