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, July, 2013.”
Kenneth Andrew Mauchin (CRD #2366345, Registered Principal, Sanford, Florida)
was barred from association with any FINRA member in any capacity. FINRA’s Enforcement Department did not seek restitution because the member firm reimbursed the customers. The sanction was based on findings that Mauchin withdrew $23,750 from customer accounts and used the funds to purchase cashier’s checks that he deposited into an account that he controlled. Mauchin falsely listed his work address as the mailing address for customer accounts, which prevented the customers from detecting Mauchin’s misappropriation of funds.
FINRA's findings stated that as a result, Mauchin caused his firm to have false books and records. The findings also stated that Mauchin failed to appear for FINRA on the record testimony.
(FINRA Case #2011028452701)
Ken Mauchin, according to FINRA's BrokerCheck, was previously registered with FINRA at the following brokerage firms:
SUNTRUST INVESTMENT SERVICES, INC.
CRD# 17499
NEW SMYRNA BEACH, FL
06/2007 - 07/2011
FIFTH THIRD SECURITIES, INC.
CRD# 628
OVIEDO, FL
02/2006 - 06/2007
COLONIAL BROKERAGE, INC.
CRD# 111668
MONTGOMERY, AL
10/2004 - 02/2006
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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