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David Lieberman is the Subject of a New York Stock Exchange Investigation

Feb 28, 2022 Regulatory Action

David Lieberman (CRD #:2936821), a broker formerly registered with GTS Securities, is the subject of a New York Stock Exchange investigation, according to his BrokerCheck record, accessed on February 15, 2022.

New York Stock Exchange Allegations 

On December 9, 2021, David Lieberman was the subject of a New York Stock Exchange Investigation alleging violations of Section 10(b) of the Securities Exchange Act of 1934. Section 10(b) of the 1934 Exchange Act forbids “manipulative and deceptive practices” in the sale of securities. Violation of the Exchange Act also constitutes a violation of FINRA Rule 2010, which requires member firms and their associated persons to "observe high standards of commercial honor and just and equitable principles of trade."

Background Information

David Lieberman 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

Besides, GTS Securities David Lieberman has also worked with Echotrade (CRD#:42239) and Worldco. (CRD#:24673)

Kurta Law Can Help

If you have been victimized after working with David Lieberman, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.