Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that New York-based Wunderlich Securities broker/adviser Russell Green has been sanctioned by FINRA and received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Green (CRD# 1391627).
Russell Green has spent 32 years in the securities industry and has been registered with Wunderlich Securities in Great Neck, New York since 2005. Previous registrations include HD Brous & Company in Great Neck, New York (2000-2005); Northridge Capital Corporation in Melville, New York (1999-2000); GFB Securities in East Meadow, New York (1996-1999); Smith Barney in New York, New York (1993-1996); Lehman Brothers in New York, New York (1985-1993); and Norbay Securities (1985). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); Series 7 (General Securities Representative Examination); Series 4 (Registered Options Principal Examination); Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]); Series 24 (General Securities Principal Examination); and Series 53 (Municipal Securities Principal Examination). He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Oklahoma, Pennsylvania and Wyoming.
According to his BrokerCheck report, he has received three customer complaints, one pending customer complaint and one FINRA sanction.
In 2014 FINRA sanctioned him following allegations he failed to ensure that all the necessary information had been obtained from a client in connection with the deposit and sale of a possible control or restricted stock. He was issued a ten-day suspension from acting in a principal capacity and a fine of $5,000.
In 1994 a customer alleged Russell Green, while employed at Shearson, executed unsuitable trades, used margin unsuitably and without authorization, executed excessive trades, and misrepresented material facts. The complaint settled for more than $27,600.
In 1993 a customer alleged Russell Green, while employed at Shearson Lehman Hutton, churned investments, made unsuitable recommendations, failed to execute, and misrepresented material facts. The complaint resulted in an award to the customer of more than $18,200.
In 1991 a customer alleged Russell Green, while employed at Shearson, executed unauthorized trades. The complaint settled for $81,277.
If you or someone you know has a complaint regarding Russell Green, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.