{"id":2827,"date":"2016-02-11T00:00:00","date_gmt":"2016-02-11T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/alain-florestan-guilty-putting-profits-customers\/"},"modified":"2018-10-08T12:40:00","modified_gmt":"2018-10-08T16:40:00","slug":"alain-florestan-guilty-putting-profits-customers","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/alain-florestan-guilty-putting-profits-customers\/","title":{"rendered":"Alain Florestan Guilty of Putting Profits Before Customers"},"content":{"rendered":"
\n

\"Alain<\/p>\n

New York broker Alain Florestan faces allegations of misconduct and unsuitable trading.<\/h2>\n

After 16 years in the securities industry, New York financial broker Alain Florestan is no longer registered to act as a financial advisor or representative in the securities industry. During his career, Florestan experienced 10 disclosure events reported on his FINRA BrokerCheck<\/span><\/a>.<\/p>\n

The most recent allegation against Florestan names him as a respondent in a case involving $1.1 million in customer trading losses while these same customers paid over $1 million in commissions and fees. The disciplinary action<\/span><\/a> alleges that during his time with Caldwell International Securities Corporation (CISC), Florestan and his colleagues \u201cput profits before customers, growth before compliance, and subterfuge before transparency.\u201d<\/p>\n<\/blockquote>\n

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

New York broker Alain Florestan faces allegations of misconduct and unsuitable trading. After 16 years in the securities industry, New York financial broker Alain Florestan is no longer registered to act as a financial advisor or representative in the securities industry. During his career, Florestan experienced 10 disclosure events reported on his FINRA BrokerCheck. The […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[407],"class_list":["post-2827","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-alain-florestan-guilty"],"yoast_head":"\nAlain Florestan Guilty of Putting Profits Before Customers — Securities Arbitration Lawyers Blog — February 11, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article Alain Florestan Guilty of Putting Profits Before Customers on silverlaw.com\" \/>\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\/alain-florestan-guilty-putting-profits-customers\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" 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