FINRA goes to the Bronx

and reviews the freezing of accounts by Wells Fargo Advisors and Michael Kotin. See Below case whose caption lists Wells Fargo Advisors

Investor Complaint Center - FINRA

www.finra.org/complaint/

Financial Industry Regulatory Authority

Through our Complaint Program, FINRA investigates complaints against brokerage firms and their employees. We are empowered to take disciplinary actions ...

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Filing a Regulatory Tip

If you are aware of unfair practices or specific instances of abusive conduct, FINRA wants to know about it immediately. Often, violations of our rules and the federal securities regulations come to light through the receipt and investigation of regulatory tips from members of the industry and other industry professionals.

You have several options when filing a regulatory tip:

• You can use our online regulatory tip form or
• You can mail or fax a tip to FINRA at the following address:
  
  FINRA – Regulatory Tips
  1735 K Street, NW
  Washington, DC 20006-1500
  Fax: (866) 397-3290
   

Investor Complaints:  Investors should file their complaint via the online FINRA Investor Complaint Center.

FINRA may find it useful to contact you for the purposes of verifying the information provided and soliciting additional information. While anonymous regulatory tips will be accepted and reviewed, their value may be diminished if FINRA is unable to conduct this additional inquiry.

It is requested that you provide a brief summary of the significant types of abusive conduct and/or rule violations that:

• You believe to have taken place;
• You believe may now be occurring, and/or
• You believe may be about to occur.

To the extent possible, provide the names of the involved parties, their roles and their relationships, the securities associated with this matter, and the time periods or dates applicable to these events.

If you are in possession of written materials or other documentation that supports your tip, FINRA staff will ask for this information following the receipt and review of your tip.

All regulatory tip information received will be treated in confidence to the fullest extent possible. FINRA, however, cannot guarantee that during the course of a related investigation or possible prosecution of the matter that the identity or documents of the source of a regulatory tip will not become known.
 

WebCivil Supreme - Case Detail   Court: Bronx Civil Supreme Index Number: 260334/2014 Case Name: RATNER,EUGENE vs. ABRAMS,LAURENCE Case Type: Other (None Of The Above) Track: Standard RJI Filed: 04/25/2014 Date NOI Due: NOI Filed: Disposition Date: Calendar Number: Jury Status: Justice Name: MARK FRIEDLANDER Attorney/Firm For Plaintiff: ELIOT L. KAPLAN  Attorney Type: Attorney Of Record  Atty. Status: Active 175 MAIN ST WHITE PLAINS,NY 10601 (914) 682-0371 Attorney/Firm For Defendant: - Prose    Attorney Type: Pro se    Atty. Status: Active