RedFlags, Allegations and Complaints against JAMES BLAIR RYBAKOFF
Disclosure #1 for JAMES RYBAKOFF
- eventDate: 6/22/2004
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA: C10040066
- DocketNumberAAO: 10040066
- Initiated By: NASD
- Allegations: NASD MEMBERSHIP AND REGISTRATION RULE 1021 AND CONDUCT RULE 2110 – RESPONDENT JAMES BLAIR RYBAKOFF ACTING ON BEHALF OF HIS MEMBER FIRM, WHILE NOT REGISTERED IN A PRINCIPAL CAPACITY ENGAGED IN ACTIVITIES THAT REQUIRED REGISTRATION AS A PRINCIPAL BY ACTIVELY ENGAGING IN THE MANAGEMENT OF THE FIRM. RESPONDENT RYBAKOFF, ACTING ON BEHALF OF HIS MEMBER FIRM, DID NOT HAVE A SINGLE DULY REGISTERED PRINCIPAL SUPERVISING THE CONDUCT OF ITS BUSINESS.
- Resolution: Acceptance, Waiver & Consent(AWC)
- SanctionDetails :: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Regulator Statement: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT JAMES BLAIR RYBAKOFF CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: FINED $5,000.00 JOINTLY AND SEVERALLY. FINES PAID.
- Broker Comment: APPLICANT ACKNOWLEDGES WITH REGRET THE FAILURE TO GIVE APPROPRIATE ATTENTION TO THE NECESSITY OF QUALIFYING AS A PRINCIPAL AFTER THE FIRM’S FOUNDING PRINCIPAL RETIRED. CORRECTIVE ACTIONS TAKEN ASSURE THIS OMISSION TO COMPLY WITH THE REQUIREMENTS FOR APPROPRIATE REGISTRATION AND SUPERVISION ARE IN THE PAST.
Should I file a FINRA complaint against brokers like JAMES BLAIR RYBAKOFF?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by JAMES BLAIR RYBAKOFF’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About JAMES BLAIR RYBAKOFF
What is JAMES RYBAKOFF’s Central Registration Depository (CRD) Number?
Which firm is JAMES BLAIR RYBAKOFF associated with?
AKIN BAY COMPANY LLC
Where is JAMES RYBAKOFF located?
780 THIRD AVENUE, NEW YORK, NY, 10017-2024
Where can I find more details about JAMES RYBAKOFF’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/29493 to read a detailed report for AKIN BAY COMPANY LLC
Are there any disclosures, allegations or complaints filed against JAMES BLAIR RYBAKOFF?
Where can I download a detailed FINRA report for JAMES RYBAKOFF?
Is it safe to do business with JAMES BLAIR RYBAKOFF?
We’re not sure. Please research JAMES RYBAKOFF’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:33 pm
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