Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Thompson (Thompson), previously associated with Network 1 Financial Securities INC., has been subject to at least one disclosable event. These events include one regulatory event. Several of those complaints against Thompson concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a final customer complaint on May 30, 2023.
Respondent Thompson failed to respond to FINRA requests for information.