Tag Archives: Ross Sinclaire & Associates LLC

Ross Sinclaire Sanctioned For Municipal Bond Fraud

Ross Sinclaire Associates LLC a securities broker dealer headquartered in Cincinnati Ohio has been censured and fined $200,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that (1) Ross Sinclaire did not make required disclosures to investors concerning its municipal offering and (2) Ross Sinclaire failed to supervise activities relating to stockbrokers’ direct market […]

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Ross Sinclaire Sued By Customer For Misrepresentation

February 20, 2018  |   Posted by :   |   Bond Fraud, Stockbroker Fraud News   |   0 Comments

Robert Steven Clarke of Cincinnati Ohio is a stockbroker formerly registered with Ross Sinclaire & Associates LLC who is the subject of a customer initiated investment related arbitration claim in which the customer sought five hundred thousand dollars in damages founded on allegations that misrepresentations were made to the customer regarding collateralized mortgage obligations products. […]

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Arbitration Action Against Ross, Sinclaire For Unsuitability

April 11, 2017  |   Posted by :   |   Municipal Bond Fraud, Suitability   |   0 Comments

Richard Allen Sena, of Cincinnati, Ohio, a stockbroker currently registered with Ross, Sinclaire & Associates, LLC, has been named in a customer initiated investment related arbitration claim on February 22, 2017, in which the customer requested $200,000.00 in damages based upon allegations that Sena made risky municipal debt investment recommendations to the customer which were […]

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Ross Sinclaire Fined For Failure To Supervise Private Placements

January 13, 2017  |   Posted by :   |   Private Placement Fraud, Stockbroker Fraud News   |   0 Comments

Ross, Sinclaire & Associates, LLC, a broker-dealer headquartered in Cincinnati, Ohio, was censured and fined $214,545.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm, inter alia: made material omissions regarding municipal offerings; failed to conduct adequate due diligence; and failed to supervise investment offerings. Letter of Acceptance, Waiver and […]

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