Did Peter Vincent Ianace Cause You Investment Losses?
You may have read that Peter Vincent Ianace of Frisco, Texas was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010.
Peter Vincent Ianace joined Merrill Lynch, Pierce, Fenner & Smith Inc. in October 2011 and was registered as a general securities representative. On June 8, 2020, the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) indicating Ianace voluntary resignation. According to the findings, FINRA began an investigation and sent a request for documents and information regarding Ianace alleged failure to disclose outside business activities to his firm. The findings stated that Ianace initially cooperated but ceased in doing so during a phone call with FINRA, stating that he acknowledged and refused to provide the requested documentation. Although he is no longer registered with a FINRA member firm, Peter Vincent Ianace remains subject to FINRA’s jurisdiction.
FINRA Rule 8210(a) states, in relevant part, that FINRA has the right to “require a … person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information in writing or electronically with respect to any matter involved in [a FINRA] investigation, complaint, examination, or proceeding.” FINRA Rule 8210(c) provides that “no member or person shall fail to provide information pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires associated persons, in the conduct of their business, to observe “high standards of commercial honor and just and equitable principles of trade.”
Do You Need a Texas FINRA Defense Attorney?
Unfortunately, Peter Vincent Ianace might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome.
Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Frisco, Texas And Nationwide
The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Texas and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.
Robert Wayne Pearce
Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $125 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.
Rate this Post
Loading...