Neil Fineman is a former securities broker who was sanctioned by FINRA in December 2017. In the case, Fineman engaged in private securities transactions. He sold $2.5 million worth of shares without notifying his member firm. As a result, he was barred from acting as a securities broker. Furthermore, he recommended unsuitable investments to his customers. This breached his duty of fiduciary responsibility. He settled the case for $20,000 and was barred from acting as a securities brokers.
Wright Holland Knight Neil Fineman focuses his practice on representing consumers in complex consumer class actions brought against national and international companies, organizations, and government entities. His work in this field has helped millions of people prove their rights. He has been involved in over 100 certified class actions. His accomplishments include the largest multi-party gift certificate class action in California history, which he helped win for the plaintiffs. His practice also includes representation of individuals and companies in employment discrimination cases.
In December 2017, Neil Fineman was sanctioned by FINRA for failing to disclose private securities transactions. The firm he was a member of barred Fineman from acting as a securities broker. He was also accused of recommending unsuitable investments and breaching his fiduciary duties. In a settlement with the customer, Fineman agreed to pay the plaintiff $20,000 in damages.
The real estate practice at Holland & Knight is already one of the largest in the country. But last September two prominent real estate attorneys, Whayne S. Quin and Steve Sher, left the firm. In addition, six other zoning attorneys went to Shaw Pittman. Robert Harris, one of the firm’s most successful zoning lawyers, is also leaving the firm.
The attorneys at Wright Holland Knightneil Fineman are highly experienced, forward-thinking, and efficient. They are known for making things happen for their clients and the public. Whether you need a business or legal problem resolved, they are able to help. Their clients appreciate the firm’s efficiency and attention to detail.
Several customer complaints have led to FINRA sanctions against former securities broker Neil Fineman. The case involves the conduct of Neil Fineman, who was registered with thirteen different firms during his twenty-year career. He is currently barred from acting as a securities broker. FINRA says that he breached his fiduciary duty and recommended unsuitable investments. He settled for $20,000 and has been suspended from the industry.
The list of individuals barred by FINRA is constantly updated and includes those on the list as of August 31, 2022. However, if an individual is barred before this date, they will not appear on the list until FINRA takes its final action. This list is updated monthly and is available on BrokerCheck. FINRA also posts a monthly report of disciplinary actions.
Career path of Wright Holland Knightneil-Fineman includes a number of notable events. John McLaughlin donates his time to the school’s Career Development Office where he counsels students on employment options. He also played a leadership role during his class’ 30th reunion by raising money for a class gift. He also sits on the advisory board of the Energy Innovation Initiative.