The Soreide Law Group, (888) 760-6552, obtained the following summation of FINRA's report from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.”
Tracy Philander Holloway (CRD #5777595, Registered Representative, Winterville, North Carolina)
was barred by FINRA for allegedly opening an insurance agency and filing fraudulent claims under the policies held by his clients. Allegedly, he would issue a check from his company’s account payable to the client. Holloway would then deposit the check into his agency’s bank account and retained the proceeds amounting to a total of approximately $50,947.56.
An investigation began after a customer inquired about a claim that had been filed under his policy. Holloway, when confronted by the insurance company, admitted submitting the fraudulent claim, and submitting others and keeping the proceeds for himself.
(FINRA Case #2013035820601)
Tracy Philander Holloway was previously registered with the following FINRA firm(s):
STATE FARM VP MANAGEMENT CORP. (CRD# 43036) - BLOOMINGTON, IL
06/2010 - 02/2013
This ends the summation from FINRA's website.
If you have become victims of insurance fraud, contact an insurance fraud attorney for a free consultation on how to recover your investment losses at 888-760-6552.
Soreide Law Group, PLLC, represents Insurance Fraud Victims in Federal Court, State Court and before the Financial Industry Regulatory Authority (“FINRA”).
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com