Securities Lawyer Blog | Victim of Fraud?

TAG | broker theft

Sep/12

19

Georgia Rep Barred by FINRA for Giving Out Client’s Confidential Bank Account Information

Comments off · Posted by Securities Lawyer in FINRA

Carlos Dawkins aka Andy Dawkins (CRD #5340915, Registered Representative,
Douglasville, Georgia)

submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting
or denying the findings, Dawkins consented to the described sanction and to the entry of findings that he improperly shared confidential customer information with an individual who was not associated with his member firm’s affiliate bank.

FINRA’s findings stated that the individual identified numerous accounts of the bank to Dawkins, and Dawkins told him which of those accounts contained fraud alerts. Using the information Dawkins provided,the individual was able to effect a variety of counterfeit transactions in particular accounts that did not have fraud alerts in multiple branches of the bank. Some customers lost a total of $79,472 because of this fraudulent scheme.
(FINRA Case #2010024989201)

This information was obtained on FINRA’s website listed under “Disciplinary and Other FINRA Actions, September, 2012.”

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, represents clients nationwide. For a free consultation on how to potentially recover your losses call: 888-760-6552, or you may visit our website and complete the online form at: http://www.securitieslawyer.com.

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Feb/12

9

Florida Rep Barred by FINRA

Comments off · Posted by Securities Lawyer in FINRA

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”
 
Jan D. Narrine (CRD #5738183, Associated Person, Winter Garden, Florida)
 
submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.
 
Without admitting or denying the findings, Narrine consented to the described sanction and to the entry of findings that he misappropriated a total of $57,311.99 by transferring funds from customers’ accounts to his own, and in each instance, forged the customers’ signatures on LOAs, which falsely purported to authorize and instruct the transfers. The findings stated that the transfers were made without the customers’ knowledge or authorization.
 (FINRA Case #2010024395501)
The information from FINRA’s website has ended.
 
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have sustained investment losses through Jan D. Narrine of Winter Garden, FL, or similar losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: www.securitieslawyer.com.
 
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.

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Dec/11

20

Evan Taber, Plantation, FL, Barred by FINRA for Misappropriation of Funds

Comments off · Posted by Securities Lawyer in FINRA

Evan Taber (CRD #1892751, Registered Representative, Plantation, Florida)
 
was barred from association with any FINRA member in any capacity.
 
This sanction was based on findings that Taber intentionally converted or misappropriated customer funds. These findings stated that Taber discussed with a customer an investment that would yield a 15 percent rate of return and the customer gave Taber a check for $30,000 payable to the investment; Taber deposited the customer’s check into the investment checking account.
 
FINRA’s findings also stated that the customer repeatedly called Taber to determine the status of his investment, and each time Taber reassured the customer that his funds had been invested; Taber failed to inform the customer that the investment checking account was actually Taber’s personal bank account.
 
These findings also included that Taber did not make any investment with the customer’s funds; instead, Taber used the customer’s funds for numerous business and personal expenses. FINRA found that Taber ultimately refunded the customer’s funds, but not until FINRA began its investigation into the customer’s complaint.
 
 (FINRA Case #2010021196801)
 
This information is from FINRA’s website’s Disciplinary Actions, December, 2011.
 
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have experienced losses through Evan Taber, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com.

Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.

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