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Ari Rubenstein Under Investigation by the New York Stock Exchange

Mar 8, 2022 Regulatory Action

Ari Rubenstein (CRD #: 4134798), a broker registered with GTS Execution Services, is the subject of an investigation by the New York Stock Exchange. This is according to his BrokerCheck record, accessed on February 23, 2021. This is not the first investigation to appear on his record—concerned brokers should keep reading.

On December 9, 2021, the New York Stock Exchange initiated an investigation into Ari Rubenstein’s trading strategy. This investigation alleged that Ari Rubenstein may have violated section 10(b) of the Securities Exchange Act of 1934, which prohibits the use of any device, scheme, or artifice to defraud.

This is not the first investigation on Ari Rubenstein’s record. On June 18, 2021, the NYSE initiated an investigation into two trading strategies.

Background Information

Ari Rubenstein has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 55 Limited Representative-Equity Trader Exam
  • Series 7 General Securities Representative Examination
  • Series 24 General Securities Principal Examination

He has worked with the following firms:

  • EchoTRade LLC (CRD #: 42239)
  • Worldco (CRD #: 24673)

Kurta Law Can Help

If you have worked with Ari Rubenstein and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.