Were you the victim of investment losses with ThinkEquity LLC broker Ben Sutak (CRD# 5580389)? He has been registered with ThinkEquity LLC in New York, New York, since 2017. Previously, he was registered with Westpark Capital, Inc. in New York, New York, from 2015 to 2017, and with Fordham Financial Management, Inc. in New York, New York, from 2014 to 2015.
Ben Sutak Customer Complaints
He has been the subject of two customer complaints between 2014 and 2022, according to his CRD report:
September 2022. “Claimant alleges excessive commission, unauthorized trades, churning, misrepresentation and unsuitability; however, Claimant is only requesting disgorgement of commissions.” The customer is seeking $296,239.65 in damages and the case is currently pending. The complaint is regarding common and preferred stocks.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, ThinkEquity LLC may be liable for investment or other losses suffered by Ben Sutak’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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