EDWARD ALAN LEFKOW is currently employed as a Broker and/or Investment Adviser at PROEQUITIES, INC. located at 13284 LAKESIDE TERRACE, COOPER CITY, FL, 33330.
EDWARD ALAN LEFKOW has worked at PROEQUITIES, INC. since December 18, 2009
EDWARD ALAN LEFKOW has 3 Disclosure Event(s).
Date: June 27, 2011 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: THE BANKRUPTCY HAS BEEN DISCHARGED AS OF 8/2/16.
Date: December 06, 1991 Category: Customer Dispute Allegations: NEGLIGENCE - DAMAGES AMOUNT AWARDED TOCUSTOMER $692.00. Damage Amount Requested: $692.00 Damages Granted: $692.00 Broker Comment: CLIENT AWARDED $692.00CLIENT REFUSED TO SIGN A CLIENT AGREEMENT OF AW-9. FIVE SETS WE SENT TO CLIENT TO SIGN BUT WERE REFUSED.ALL POSITIONS WERE TRANSFERRED OUT TO CLIENT. INDIVIDUALCOMPANIES WITHHELD BECAUSE NO W-9 WAS SIGNED.
Date: March 10, 1988 Category: Customer Dispute Allegations: IN OR ABOUT FEBRUARY 1992, THE CLIENTS FILEDA STATEMENT OF CLAIM AGAINST GRUNTAL, EDWARD LEFKOW, IRA WEINERAND ADVEST. THE STATEMENT OF CLAIM ALLEGES INTER ALIA, THATUNSUITABLE TRANSACTIONS, INCLUDING PURCHASES OF SPECULATIVESHARES, OPTIONS TRADING AND THE USE OF MARGIN; CHURNING;UNAUTHORIZED USE OF DISCRETION; FAILURE TO SUPERVISE; ANDMISREPRESENTATIONS IN VIOLATION OF RULE 10B-5, RESULTED INUNSPECIFIED LOSSES IN EXCESS OF $100,000. A RICO CLAIM IS ALSOALLEGED. Damage Amount Requested: $100,000.00 Settlement Amount: $44,000.00
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for EDWARD ALAN LEFKOW, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More