(888) 637-5510

Written by 5:37 pm Current Investigations

Andrew B. Kramer Barred from Securities Industry

Andrew B. Kramer

Recovery of Investment Losses with Andrew B. Kramer

Have you suffered losses investing with Andrew B. Kramer? If so, the attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that employed him.

According to FINRA, Andrew B. Kramer was permanently barred from association with any FINRA member in any capacity. On December 12, 2016, FINRA staff sent Kramer a request for certain documents and information related to an examination concerning a customer complaint.  Kramer refused the request for documents and information, violating FINRA Rules 8210 and 2010. He has been permanently been barred from the securities industry.

Andrew B. Kramer was registered with Capitol Securities in New York, NY from 09/11/2014 – 05/16/2016, according to his FINRA BrokerCheck. Prior to that, he worked for Northeast Securities, Inc. in Mitchelfield, NY from 07/09/2010 – 09/11/2014. He has six customer complaints listed on his Broker Report. Allegations include unsuitability, misrepresentation and unauthorized trades, among others.

For FINRA’s full findings see FINRA case no. 20160520920-Ol.

Failure to Supervise

The White Law Group is investigating the liability that Andrew B. Kramer’s FINRA employer may have for his actions.

When a broker violates industry rules, his or her employer may be liable for negligent supervision and responsible for investment losses in a FINRA dispute resolution claim.

If you were a victim of Andrew B. Kramer and would like to discuss your potential to recover your losses through a FINRA arbitration claim, please call the securities attorney of The White Law Group at 888-637-5510 for a free consultation.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida.

To learn more about The White Law Group, please visit www.WhiteSecuritesLaw.com.



Tags: , , , , , , , , , , , , , , , , , Last modified: March 25, 2019