Nov 21, 2021

Virginia Beach, Virginia FINRA Defense Lawyers

Do You Need a FINRA Defense Attorney? You may have read that Hugues Guirand of Virginia Beach, Virginia 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. In July 2007, Hugues Guirand joined Woodstock Financial Group Inc. while registered as a Corporate Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that Guirand had been discharged due to alleged misconduct. According to the findings, FINRA sent Guirand a request to provide documents and information and appear for an on-the-record testimony in connection with their investigation into whether he solicited customer’s investment in certain transactions. The findings state that Guirand has not responded to FINRA for the request for documents and information and has not appeared for an on-the-record testimony. Although Hugues Guirand is not currently associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Hugues Guirand 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 Virginia Beach, Virginia 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 Virginia 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 Virginia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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Nov 9, 2021

New York, New York FINRA Defense Lawyers

Do You Need a FINRA Defense Attorney? You may have read that Evan A. Schottenstein of New York, New York 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. In March 2014, Evan A. Schottenstein was registered with J.P. Morgan Securities LLC as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Schottenstein had been discharged due to concerns relating to previous trading activity. According to the findings, FINRA sent Schottenstein a request to appear for and provide an on-the-record testimony regarding their investigation into his termination. The findings state that Schottenstein responded to FINRA through email, stating that he allegedly received, acknowledged, and refused the request to appear for an on-the-record testimony at any time. Although Evan A. Schottenstein is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’ s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade. “ Unfortunately, Evan A. Schottenstein 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 New York 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 New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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Nov 3, 2021

Broadview Heights, Ohio FINRA Defense Lawyers

Do You Need a FINRA Defense Attorney? You may have read that David Brian Zuber of Broadview Heights, Ohio 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.   In February 2011, David Brian Zuber joined Securities America, Inc., as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), in May 2020, disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA began an investigation and sent a request for Zuber to appear for an on-the-record testimony regarding his alleged involvement in the offer of private securities investments not approved by the firm. The findings state that Zuber responded to FINRA through email, stating that he allegedly received, acknowledged, and refused to appear at any time for an on-the-record testimony. Although David Brian Zuber is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, David Zuber 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 Broadview Heights, Ohio 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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Aug 31, 2021

Huber Heights, Ohio FINRA Defense Lawyer

Do You Need a FINRA Defense Attorney? You may have read that Ryan Tarjanyi of Huber Heights, Ohio 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. In February 2017, Ryan Tarjanyi joined Bankers Life Securities, Inc. while registered as an Investment Company and Variable Contracts Products Representative and a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA sent Tarjanyi a request to appear for an on-the-record testimony regarding customer complaints alleging forgery and falsification of information on an insurance application and annuity withdrawal forms. The findings state that during his on-the-record testimony, Tarjanyi provided inaccurate information in response to the complaints. Although Ryan Tarjanyi is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 requires member firms and associated persons to provide information and testimony to FINRA in the course of an examination or investigation. Under Rule 8210, FINRA staff has the right to require associated persons to testify under oath “with respect to any matter involved in the investigation.” Inherent in that obligation to testify is the obligation to testify truthfully. FINRA Rule 2010 requires each FINRA member and its associated persons to observe high standards of commercial honor and just and equitable principles of trade. Providing false or misleading testimony to FINRA violates FINRA Rules 8210 and 2010. Unfortunately, Ryan Tarjanyi 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 Huber Heights, Ohio 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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Aug 13, 2021

Monticello, Indiana FINRA Defense Lawyers

Do You Need a FINRA Defense Attorney? You may have read that William James Novack of Monticello, Indiana 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. From August 2018 through September 2019, William James Novack was registered with Cambridge Investment Research, Inc. as a General Securities Representative. According to the findings, FINRA sent Novack a request to appear for an on-the-record testimony regarding the termination of another Cambridge registered representative, who was believed to have been allowing a barred individual to conduct a securities business. The findings state that Novack responded to FINRA through email, stating that he allegedly received, acknowledged, and refused the request to appear for an on-the-record testimony at any time. Although William James Novack is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’ s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade. “ Unfortunately, William James Novack 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 Monticello, Indiana 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 Indiana 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 Indiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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Aug 1, 2021

Murrieta, California FINRA Defense Lawyers

You may have read that Jeremy Taylor Johnson of Murrieta, California 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. In 2019, Jeremy Taylor Johnson joined Torch Securities while registered as a Private Securities Offerings Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on April 21, 2020, disclosing that Johnson had been discharged due to alleged misconduct. According to the findings, FINRA sent Johnson a request to appear for an on-the-record testimony regarding their investigation into the suitability and potential misrepresentations and omissions related to his sale of two securities offerings. The findings state that Johnson responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused the request to appear for an on-the-record testimony at any time. Although Jeremy Taylor Johnson is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade.” Unfortunately, Jeremy Taylor Johnson 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 Murrieta, California 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 California 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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Jul 25, 2021

Bluffs, Iowa FINRA Defense Lawyers

You may have read that Chad T. Mackland of Council Bluffs, Iowa 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. In March 2017, Chad T. Mackland joined MML Investors Services, LLC and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA sent Mackland a request to provide documents and information in connection with their investigation regarding his pending criminal charges as well as alleged theft and fraudulent sales practices. The findings state that Mackland responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused the request to provide the documents and information at any time. Although Chad T. Mackland is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade.” Unfortunately, Chad T. Mackland 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 Attorneys Serving Financial Advisors Throughout Bluffs, Iowa 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 Iowa 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 Iowa citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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