Shelly Wolfsdorf Allegedly Terminated by Dalmore Group
Shelly Wolfsdorf (CRD #: 2644785), a broker registered with Finalis Securities, was terminated by Dalmore Group. This disclosure appears in her BrokerCheck record, accessed on August 3, 2023. Details of the termination are provided below.
On July 3, 2023, Dalmore Group fired Shelly Wolfsdorf following allegations that she failed to adhere to training provided as it relates to cybersecurity protection of client data and email use.
On May 15, 2023, an investor named Shelly Wolfsdorf in a dispute alleging that Dalmore failed to prevent one or more criminals from accessing its email system. The investor is seeking $850,000.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to comply with firm cybersecurity policies may violate FINRA Rule 2010.
Shelly Wolfsdorf has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 65 Uniform Investment Adviser Law Examination
- SIE – Securities Industry Essentials Examination
- Series 82 Limited Representative Private Securities Offerings
- Series 79 Investment Banking Registered Representative Examination
- Series 31 Futures Managed Funds Examination
- Series 7 General Securities Representative Examination
She is a broker registered with California and New York.
Shelly Wolfsdorf has registered with the following firms:
- Dalmore Group (CRD #: 136352)
- NMS Capital Advisors (CRD #: 140356)
- NMS Capital Securities (CRD #: 107401)
- Dean Witter Reynolds (CRD #: 7556)
Kurta Law Can Help
If you worked with Shelly Wolfsdorf and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.