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 apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com