Four Brokers Barred By FINRA

The following four registered representatives were barred from acting as a broker or otherwise associating with a broker-dealer firm by FINRA in May of 2018 for allegedly failing to cooperate with FINRA investigations:
LEONA LYNN PARSONS (LEONA PARSONS) CRD#: 6164352 
AMY ELIZABETH PESINA (AMY ELIZABETH O'CONNOR) CRD#: 6503149  
DALLAS RICHARDSON YORK (DALLAS YORK) CRD#: 6449560  
SANJEEV SREETHARAN CRD#: 5939838
According to FINRA’s BrokerCheck, Leona Parsons was with J.P. Morgan Chase Bank in Imperial Beach, California, and was discharged in February of 2018, allegedly for failing to provide the full amount of a withdrawal to a bank client. Parsons was with J.P. Morgan for 10 years.  She was allegedly barred by FINRA for refusing to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding allegations in a Form U5 her member firm had filed for her.
The BrokerCheck report of Amy Pesina, who was with J.P. Morgan Securities in Port Huron, Michigan, was allegedly discharged from the bank in May of 2017 following allegations that she wrote a check from her personal bank account to a third party for which insufficient funds were available. Pesina was with J.P. Morgan for two years.  Pesina was barred by FINRA following allegations that she refused to appear for FINRA on-the-record testimony in connection with an investigation regarding her writing checks from her personal account to a third party when she had insufficient funds available.
According to FINRA’s BrokerCheck, Dallas York, was barred by FINRA, for failing to provide FINRA information and documents requested by FINRA during the course of an investigation into the circumstances of his termination from his member firm.  Allegedly, a client claimed that funds were withdrawn from his bank account without his knowledge or consent and that a review of the bank records revealed that York debited the customer's account for the purchase of multiple cashier's checks made out to cash and subsequently cashed those checks. York was with Wells Fargo Advisors in Scottsdale, Arizona, from February 2015 to October 2017. He was discharged over the allegations of unauthorized withdrawal of client funds.
The BrokerCheck report of Sanjeev Sreetharan, formerly with Deutsche Bank Securities in New York, stated that he was barred for refusing to comply with a FINRA investigation into allegations that he incorrectly valued certain securities in his Deutsche Bank trading portfolio. Sreetharan was with Deutsche Bank Securities from July 2011 to June 2016.
If you have experienced losses due to the actions or recommendations or any of the four brokers mentioned, who have all been barred from the securities industry by FINRA, please contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at:  888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee basis—no fee to you if no recovery.