Jul 19, 2021

Scottsdale, Arizona Securities Account Theft Attorney

Did Michael Justin Nagy Cause You Investment Losses? Michael Justin Nagy of Scottsdale, Arizona submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred from association with any FINRA member in all capacities. The sanction was based on findings that he converted funds from his firms bank affiliate in violation of FINRA Rule 2010. In July 2017, Michael Justin Nagy joined Merrill Lynch while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) in December 2019, disclosing that Nagy had been discharged due to alleged misconduct. According to FINRA’s findings, while working at the firms affiliated bank, Nagy was given $100 in cash to return to the previous customer that had left it behind at the ATM. The findings state that when the manager asked Nagy about the cash left, he allegedly disclaimed any knowledge of the missing funds and decided to keep it rather than report it.  Although Michael Justin Nagy is not currently registered or associated with a FINRA member, he remains subject to FINRA’s jurisdiction. FINRA Rule 2010 requires associated persons of FINRA members to adhere to high standards of commercial honor and just and equitable principles of trade in the conduct of their business. Conversion is an intentional and unauthorized taking of and/or exercise of ownership over property by one who neither owns the property nor is entitled to possess it. Conversion violates FINRA Rule 2010 even if the conversion occurs outside the scope of an associated person’s employment with a FINRA member or even if the person from whom the funds are converted is not a customer of the firm with which the respondent was associated. Do You Need an Arizona Securities Account Theft Attorney? Are you a Scottsdale, Arizona investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Arizona stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these securities account theft cases and other complex legal issues.  Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Scottsdale, Arizona Residents in FINRA Arbitrations At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Arizona, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Arizona citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Continue Reading

May 26, 2021

Stone Mountain, Georgia Securities Account Theft Attorney

Did Jonathan H. Dudley Cause You Investment Losses? Jonathan H. Dudley of Stone Mountain, Georgia submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. In April 2018, Jonathan H. Dudley joined Centaurus and became registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he was permitted to resign due to alleged misconduct. According to the findings, FINRA began an investigation and sent a request to Dudley for information and documents or to appear for an on-the-record testimony regarding allegations from a former customer. The findings state that Dudley allegedly converted funds from a customer to use for an outside business venture he had not disclosed to his firm. The findings further state that Dudley responded to FINRA through email stating that he received, acknowledged, and refused to provide the requested documents and information or to appear for an on-the-record testimony. Although Jonathan H. Dudley is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. Do You Need a Securities Account Theft Attorney? 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.” Rule 8210 requires persons subject to FINRA’s jurisdiction to provide information to FINRA upon request. Rule 8210(a)(1) authorizes FINRA, in the course of an investigation, to require persons subject to its jurisdiction to “provide information orally, in writing, or electronically and to testify at a location specified by FINRA staff, under oath or affirmation administered by a court reporter or a notary public if requested, with respect to any matter involved in the investigation.” Rule 8210(a)(2) authorizes FINRA to “inspect and copy the books, records, and accounts” of persons subject to its jurisdiction “with respect to any matter involved in the investigation that is in such person’s possession, custody, or control.” Rule 8210(c) provides that “[n]o member or person shall fail to provide information or testimony or to permit an inspection and copying of books, records, or accounts pursuant to this Rule.” Are you a Stone Mountain, Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.  Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Stone Mountain, Georgia Residents in FINRA Arbitrations At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Georgia, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading

May 14, 2021

San Francisco, California Securities Account Theft Lawyer

Did Bryce Scarfone Cause You Investment Losses? Bryce R. Scarfone of San Francisco, California submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was permanently barred from working in the securities industry because he failed to comply with FINRA Rule 2010.   In January 2017, Bryce R. Scarfone joined HSBC and became registered as an Investment Banking Representative and as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that Scarfone had been terminated due to alleged conversion of funds. According to the findings, Scarfone had allegedly altered a check in the amount of $1,798.14 issued by his firm to be paid to his roommate by changing the check number and making it payable to himself without the authority to do so. The findings state that Scarfone then deposited the check into his personal bank account to use for his own benefit. Although Bryce R. Scarfone is not currently registered or associated with a FINRA member, he remains subject to FINRA’s jurisdiction. Do You Need an Attorney for Securities Account Theft? FINRA Rule 2010 requires associated persons of FINRA members to adhere to high standards of commercial honor and just and equitable principles of trade in the conduct of their business. Conversion is the intentional and unauthorized taking of and/or exercise of ownership over property by one who neither owns the property nor is entitled to possess it. Conversion violates FINRA Rule 2010 even if the conversion occurs outside the scope of a registered representative’s employment with a FINRA member. Are you a Bryce R. Scarfone investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your California stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.  Free Initial Consultation With Experienced Lawyers Handling Securities Account Theft Cases Serving San Francisco, California Residents in FINRA Arbitrations At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading

Apr 24, 2021

Two Rivers, Wisconsin Securities Account Theft Lawyer

Did Christine Ann Ringmeier Cause You Investment Losses? Christine Ann Ringmeier of Two Rivers, Wisconsin submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which she was barred from association with any FINRA member in all capacities. The sanction was based on findings that she allegedly converted a registered representatives funds in violation of FINRA Rule 2010. In August 2018, Christine Ann Ringmeier joined Ameriprise Financial Services, LLC as an administrative assistant. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she had been terminated due to his alleged misconduct. According to the FINRA findings, Ringmeier wrote and signed 41 checks totaling $44,684.06 to herself from a registered representative for whom she worked, without his knowledge or approval. The findings state that Ringmeier allegedly deposited the checks into her personal bank account and then deleted it from the accounting application to hide the transaction. In addition to the findings, Ringmeier made a journal entry retiring the balance of a debt she owed the business of which she had not actually paid. Although Christine Ann Ringmeier is not currently registered or associated with a FINRA member, she remains subject to FINRA’s jurisdiction. FINRA Rule 2010 requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. Ann Ringmeier’s conduct, as alleged, constitutes Conversion, and violates FINRA Rule 2010. Do You Need a Wisconsin FINRA Securities Arbitration Attorney? Are you a Two Rivers, Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Wisconsin stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.  Free Initial Consultation With Experienced Lawyers Handling Securities Account Theft Cases Serving Two Rivers, Wisconsin Residents in FINRA Arbitrations At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Wisconsin, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading