Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Theodore Grosack

Allegation type: Regulatory

Allegation status: Final

The allegations read: Customer day trade was paid for by r.r. Who was unfamiliar with rules at the time. Customer suggested that r.r. Pay for the transactions. The loss on the buy and sell side was paid for by customer. The n.y. Stock exchange reviewed incident and gave r.r. Censure.

Back