{"id":8442,"date":"2019-07-16T10:05:37","date_gmt":"2019-07-16T14:05:37","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8442"},"modified":"2019-07-16T10:05:37","modified_gmt":"2019-07-16T14:05:37","slug":"james-schwartz-barred-by-finra-after-churning-customer-accounts","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/james-schwartz-barred-by-finra-after-churning-customer-accounts\/","title":{"rendered":"James Schwartz Barred By FINRA After Churning Customer Accounts"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8444 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/07\/Stock3-300x200.jpg\" alt=\"James Bradley Schwartz (CRD# 3043085) is a former registered broker whose last employer was Joseph Gunnar &amp; Co. LLC (CRD#:24795) of New York, NY. Previous employers include First Standard Financial Company LLC (CRD#:168340) of Garden City, NY, and Aegis Capital Corp. (CRD#:15007) of Melville, NY.\u00a0 He has been in the industry since 1998.During his tenure with Aegis (2013 through 2016), Schwartz was the subject of six customer disputes, all of which were settled by the firm. The allegations against Schwartz were similar: unauthorized and excessive trading, unsuitable recommendations, breach of fiduciary duty, negligence, misrepresentation, and others. The damages requested for these six disputes totaled $6,861,954.47, and the damages awarded totaled $2,730,286.36.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/07\/Stock3.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/07\/Stock3-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>James Schwartz (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/3043085\" target=\"_blank\">3043085<\/a>) is a former registered broker whose last employer was Joseph Gunnar &amp; Co. LLC (CRD#:24795) of New York, NY. Previous employers include First Standard Financial Company LLC (CRD#:168340) of Garden City, NY, and Aegis Capital Corp. (CRD#:15007) of Melville, NY.\u00a0 He has been in the industry since 1998. <a href=\"https:\/\/www.silverlaw.com\/blog\/james-schwartz-barred-by-finra-after-churning-customer-accounts\/#more-8442\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>James Bradley Schwartz (CRD# 3043085) is a former registered broker whose last employer was Joseph Gunnar &#038; Co. LLC (CRD#:24795) of New York, NY. Previous employers include First Standard Financial Company LLC (CRD#:168340) of Garden City, NY, and Aegis Capital Corp. (CRD#:15007) of Melville, NY.\u00a0 He has been in the industry since 1998. During his tenure with Aegis (2013 through 2016), Schwartz was the subject of six customer disputes, all of which were settled by the firm. The allegations against Schwartz were similar: unauthorized and excessive trading, unsuitable recommendations, breach of fiduciary duty, negligence, misrepresentation, and others. The damages requested for these six disputes totaled $6,861,954.47, and the damages awarded totaled $2,730,286.36.<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589,599,580],"tags":[],"class_list":["post-8442","post","type-post","status-publish","format-standard","hentry","category-churning-2","category-securities-arbitration","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>James Schwartz Barred By FINRA After Churning Customer Accounts &#8212;<\/title>\n<meta name=\"description\" content=\"James Bradley Schwartz, a former registered broker whose last employer was Joseph Gunnar &amp; Co. of New York, NY, was barred by FINRA after churning accounts.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, 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