Soreide Law Group, (888) 760-6552, based in Fort Lauderdale, Florida, recently obtained the following summary of information located on FINRA’s website, under “Disciplinary and Other FINRA Actions, July, 2014.”
John Frederick Wolle (CRD #5479607, Riviera Beach, Florida)
was barred by FINRA for allegedly falsifying and forging a client’s signature on an annuity application without the customer’s authorization. Wolle also failed to notify his firm of his outside business activities.
FINRA's findings stated that allegedly Wolle photocopied a blank pre-signed annuity application and submitted the application to an insurance company signing the application as the selling agent. Wolle submitted another annuity application after being asked by a business associate, for the same customer using the pre-signed application he had, along with two additional documents on which he had also forged the customer’s signature. Wolle received approximately $14,000 in commissions for the annuity sales, and he had remitted the commissions to his business associate.
According to the FINRA report, Wolle's client informed the insurance company that the annuity purchases were unauthorized. The insurance company cancelled the contracts.
(FINRA Case #2013035801101)
John Wolle, according to FINRA's BrokerCheck, was previously registered with the following securities firm(s):
SINCLAIR & COMPANY, LLC (CRD# 133754) - DARIEN, CT
03/2011 - 01/2012
RIDGEWAY & CONGER, INC. (CRD# 113055) - NEW WOODSTOCK, NY
09/2008 - 03/2009
This ends the information from FINRA.
If you have become a victim of annuity or insurance fraud, contact Soreide Law Group for a free consultation on how to recover your investment losses. To speak with an attorney, call 888-760-6552.
Soreide Law Group, PLLC, represents Insurance Fraud Victims in Federal Court, State Court, and before the Financial Industry Regulatory Authority (“FINRA”).
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