Louis James Deeley (CRD #5830647, Santa Rosa, California) AKA: LOUIS POPP III
was barred by FINRA for allegedly converting $24,014 from the bank account of his firm’s client for his own personal use and benefit.
FINRA's findings stated that on separate occasions, Deeley submitted completed withdrawal slips to a bank teller containing a signature that appeared to be that of the client. Deeley provided the teller with instructions to allocate part of the withdrawal amount indicated on the slip to a cashier’s check and the remainder to him in cash. Deeley then deposited the cashier’s checks in client’s brokerage account but kept the cash.
(FINRA Case #2014043723901)
Louis James Deeley was previously registered with the following firms:
10/2012 - 12/2014 J.P. MORGAN SECURITIES LLC (CRD# 79) - SANTA ROSA, CA
08/2010 - 10/2012 CHASE INVESTMENT SERVICES CORP. (CRD# 25574) - SANTA ROSA, CA
FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
The Disciplinary Report May 2015 summation of information from FINRA ends here.
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