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Scott Weisman Named in Dispute Alleging Failure to Supervise

Scott Weisman (CRD #: 2367813), a broker registered with Etico Partners, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on June 1, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On March 9, 2023, an investor named Scott Weisman in a dispute alleging failure to supervise. The client seeks $500,000 in damages in this pending dispute.

FINRA Rule 3110

Failure to supervise violates FINRA Rule 3110, which requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must ensure that supervisory personnel have the training or experience necessary for their role.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Scott Weisman has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 52TO – Municipal Securities Representative Examination
  • Series 79TO – Investment Banking Registered Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 53 – Municipal Securities Principal Examination
  • Series 24 – General Securities Principal Examination

Scott Weisman is a registered broker in New York.

He has also worked for the following firms:

  • Triad Securities (CRD#:11363)
  • Olympus Securities (CRD#:114050)
  • Halcyon Cabot Partners (CRD#:32664)
  • Pickwick Capital Partners (CRD#:130672)
  • McGinn, Smith & Company (CRD#:8453)
  • H.C. Wainwright & Company (CRD#:375)
  • Josephthal & Company (CRD#:3227)

Kurta Law Can Help

If you worked with Scott Weisman and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.

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