The following information was found on FINRA’s website’s “Disciplinary Actions, January 2012.”
Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, Florida)
submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with ny FINRA member in any capacity. Without admitting or denying the findings, Counts consented to the described sanction and to the entry of findings that he misappropriated approximately $18,000 from a customer’s checking account and approximately $73,500 from the same customer’s home equity line of credit; Counts converted these funds to his personal use. The findings stated that Counts failed to respond to FINRA requests for information.
(FINRA Case #2010024445201)
End of FINRA information.
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have sustained investment losses due to Richard Paul Counts, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at:
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.