{"id":7637,"date":"2019-01-24T14:14:58","date_gmt":"2019-01-24T19:14:58","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7637"},"modified":"2019-01-24T15:46:52","modified_gmt":"2019-01-24T20:46:52","slug":"finra-bans-charles-bloom","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bans-charles-bloom\/","title":{"rendered":"FINRA Bans Charles Bloom"},"content":{"rendered":"

Charles Lewis Bloom (CRD #4144108<\/a>) is a former registered broker last employed by Chelsea Financial Services (CRD #47770<\/a>) of Royal Palm Beach, FL. His previous employers include International Assets Advisory, LLC (CRD #10645<\/a>) and IAA Financial LLC (CRD #6578<\/a>) of West Palm Beach, FL, and U.S. Brokerage, Inc. (CRD #39307<\/a>) of Wellington, FL. No current employment information is available. He has been in the industry since 2000.<\/p>\n

FINRA began an investigation into Bloom\u2019s trading practices in October of 2017 after allegations of unsuitable trading in at least three customer accounts. FINRA then requested Bloom to appear to give on-the-record testimony to FINRA regarding the investigation. He declined, and stated in a phone call that he would not give testimony at any time. On 7\/17\/2018, after signing an Acceptance, Waiver & Consent (AWC) letter, Bloom was indefinitely barred by FINRA effective immediately.<\/p>\n

\"Are-or-Were-Unsuitable-Non-Traded-REITs-in-Your-Portfolio-300x224\"Shortly after the FINRA action, a customer dispute was filed on 11\/8\/2017, alleging that Bloom misrepresented and made unsuitable recommendations with regard to a REIT (real estate investment trust.) The case is currently \u201cpending,\u201d and the damages requested are $99,326.84.<\/p>\n

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

Charles Lewis Bloom (CRD #4144108) is a former registered broker last employed by Chelsea Financial Services (CRD #47770) of Royal Palm Beach, FL. His previous employers include International Assets Advisory, LLC (CRD #10645) and IAA Financial LLC (CRD #6578) of West Palm Beach, FL, and U.S. Brokerage, Inc. (CRD #39307) of Wellington, FL. No current […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[579,590,594,580,581,576],"tags":[1463,1464,213,1359,150,251],"class_list":["post-7637","post","type-post","status-publish","format-standard","hentry","category-broker-permanently-barred","category-misrepresentation-and-omission-of-material-facts","category-real-estate-investment-trusts","category-stockbroker-misconduct","category-unauthorized-trading","category-unsuitable-investment-advice","tag-charles-bloom","tag-charles-bloom-chelsea-financial-services","tag-chelsea-financial-services","tag-finra-arbitration-lawyer","tag-reits","tag-unsuitable-recommendations"],"yoast_head":"\nFINRA Bans Charles Bloom — Securities Arbitration Lawyers Blog — January 24, 2019<\/title>\n<meta name=\"description\" content=\"Charles Lewis Bloom (CRD #4144108) is a former registered broker last employed by Chelsea Financial Services (CRD #47770) of Royal Palm Beach, FL. His — January 24, 2019\" \/>\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-bans-charles-bloom\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bans Charles Bloom — Securities Arbitration Lawyers Blog — January 24, 2019\" \/>\n<meta name=\"twitter:description\" content=\"Charles Lewis Bloom (CRD #4144108) is a former registered broker last employed by Chelsea Financial Services (CRD #47770) of Royal Palm Beach, FL. 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