{"id":1551,"date":"2017-08-31T19:48:30","date_gmt":"2017-08-31T23:48:30","guid":{"rendered":"http:\/\/www.elderfinancialfraudattorneys.com\/?p=1551"},"modified":"2018-10-04T16:03:34","modified_gmt":"2018-10-04T20:03:34","slug":"finra-permanently-bars-former-janney-montgomery-scott-llc-broker-david-aaron-seigerman","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-permanently-bars-former-janney-montgomery-scott-llc-broker-david-aaron-seigerman\/","title":{"rendered":"FINRA Permanently Bars Former Janney Montgomery Scott, LLC Broker David Aaron Seigerman"},"content":{"rendered":"

\"Broker-David-Aaron-Seigerman.jpg\"<\/p>\n

Failure to respond to regulatory agency requests ends the securities industry career of this New Jersey-based broker<\/h2>\n

According to the Financial Industry Regulatory Authority<\/span><\/a> (FINRA), David Aaron Seigerman failed to respond to the agency\u2019s requests for information concerning his compliance with arbitration awards or settlement agreements with his customers.<\/p>\n

In two separate complaints, Seigerman\u2019s customers filed claims against the broker for allegedly executing unauthorized transactions<\/span><\/a> within their accounts, failing to follow instructions, and breach of fiduciary duty. Allegations against Seigerman also include \u201cselling away<\/span><\/a>,\u201d which is when a broker recommends outside investments that are not authorized by his member firm.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Failure to respond to regulatory agency requests ends the securities industry career of this New Jersey-based broker According to the Financial Industry Regulatory Authority (FINRA), David Aaron Seigerman failed to respond to the agency\u2019s requests for information concerning his compliance with arbitration awards or settlement agreements with his customers. In two separate complaints, Seigerman\u2019s customers […]<\/p>\n","protected":false},"author":2,"featured_media":1552,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1102],"tags":[9],"class_list":["post-1551","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-blog","tag-finra"],"yoast_head":"\nDavid Aaron Seigerman : Elder Financial Fraud Alert<\/title>\n<meta name=\"description\" content=\"Failure to respond to regulatory agency requests ends the securities industry career of New Jersey-based broker David Aaron Seigerman.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-permanently-bars-former-janney-montgomery-scott-llc-broker-david-aaron-seigerman\/\" \/>\n<meta name=\"twitter:card\" 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