Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
Thomas Gerald Recck (CRD #2703877, Registered Representative, Wethersfield, Connecticut)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Recck consented to the described sanction and to the entry of findings that he was the treasurer of a non-profit organization that maintained an account that Recck serviced at his member firm. Recck transferred approximately $80,000 from the organization’s firm brokerage account to one of the organization’s bank accounts. Recck then converted a total of approximately $140,000 in funds from that bank account, and another organization bank account, for his personal benefit. The findings stated that Recck failed to appear for a FINRA on-the-record interview and indicated that he would not cooperate with FINRA’s investigation by providing testimony.
(FINRA Case #2012032292601)
This broker was previously registered with FINRA at the following brokerage firms:
METLIFE SECURITIES INC.
CRD# 14251
GLASTONBURY, CT
06/1996 - 10/2012
METROPOLITAN LIFE INSURANCE COMPANY
CRD# 4095
WETHERSFIELD, CT
06/1996 - 07/2007
This ends the information obtained on FINRA’s website.
If you’ve experienced investment losses due to your stock broker/financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
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