{"id":2660,"date":"2016-11-29T00:00:00","date_gmt":"2016-11-29T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-barred-janney-montgomery-scott-broker-investigation-finra-arbitrations\/"},"modified":"2016-11-29T00:00:00","modified_gmt":"2016-11-29T05:00:00","slug":"finra-barred-janney-montgomery-scott-broker-investigation-finra-arbitrations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-barred-janney-montgomery-scott-broker-investigation-finra-arbitrations\/","title":{"rendered":"FINRA-barred Janney Montgomery Scott Broker Under Investigation for FINRA Arbitrations"},"content":{"rendered":"<\/p>\n

Silver Law Group is investigating recently-FINRA-barred former Janney Montgomery Scott LLC (CRD# 463)<\/a> broker David A. Seigerman (CRD# 2200011)<\/a>.<\/p>\n

FINRA permanently barred Seigerman after he failed to respond to a FINRA request for information.\u00a0 The FINRA bar follows a suspension the regulatory body levied on Seigerman in April 2016 for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.<\/p>\n

Seigerman, based out of New Jersey, has a total of seven disclosures on his FINRA BrokerCheck report, including the two regulatory proceedings noted above.\u00a0 He currently has one FINRA arbitration pending that alleges failure to follow instruction and breach of fiduciary duty, among other things.\u00a0 The FINRA arbitration alleges damages in the amount of over $350,000.\u00a0 Additionally, another FINRA arbitration settled in September 2010 for $43,000 that alleged unauthorized trading.<\/p>\n

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

Silver Law Group is investigating recently-FINRA-barred former Janney Montgomery Scott LLC (CRD# 463) broker David A. Seigerman (CRD# 2200011). FINRA permanently barred Seigerman after he failed to respond to a FINRA request for information.\u00a0 The FINRA bar follows a suspension the regulatory body levied on Seigerman in April 2016 for failing to comply with an […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2660","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFINRA-barred Janney Montgomery Scott Broker Under Investigation for FINRA Arbitrations — Securities Arbitration Lawyers Blog — November 29, 2016<\/title>\n<meta name=\"description\" content=\"If you have lost money investing with David Seigerman and\/or Janney Montgomery Scott, contact our firm for information on how to try to recover your losses.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, 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