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Burnham Securities Has Six Regulatory Sanctions

Burnham Securities Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that Burnham Securities, a corporation registered in New York, is the subject of regulatory complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Burnham Securities (CRD# 22549).

According to its BrokerCheck report, Burnham Securities has six regulatory sanctions.

In 2009, FINRA sanctioned Burnham Securities following allegations it failed to accurately report TRACE transactions. The firm was issued a fine of $5,000.

In 2007, the National Association of Securities Dealers (NASD) sanctioned Burnham Securities following allegations it failed to report certain features of TRACE-eligible transactions. The firm was issued a fine of $6,000.

In 2007, NASD sanctioned Burnham Securities following allegations it failed to timely report transactions in TRACE-eligible securities. The firm was censured and issued a fine of $17,500.

In 2005, NASD sanctioned Burnham Securities following allegations it failed to timely report municipal securities customer transactions. The firm was censured and issued a fine of $7,500.

If you or someone you know has complaints regarding Burnham Securities, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: Fitapelli Kurta only receives payment if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.