Securities America, Inc.

Securities America, Inc. (CRD #10205, Omaha,Nebraska) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $250,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it neglected to establish a system reasonably designed to supervise the activities of a registered representative who effected unsuitable securities transactions in public customers' accounts. The findings also stated that in connection with the transactions the individual effected, the firm failed to review all discretionary accounts at frequent intervals to detect and prevent transactions that were excessive in size or frequency in view of the account's financial resources and character. (NASD Case #2005001520702)

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Contact Information

The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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