ulie Ann Mineard (JULIE A LUND, JULIE ANN LUND) CRD#: 3230787, formerly with Merrill Lynch of Seattle, Washington, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on November 15, 2019.
According to the FINRA report, without admitting or denying the findings, Julie Ann Mineard consented to the sanction and to the entry of findings that she allegedly converted and improperly used approximately $24,044 that she obtained from a co-worker’s brokerage account held at Merrill Lynch.
FINRA’s findings stated that Julie Ann Mineard allegedly assisted the co-worker in routinely paying his personal bills by making check requests for disbursements from his brokerage account at Merrill Lynch. According to FINRA, Mineard allegedly inputted check requests into the firm’s online check request system to direct disbursements of the funds from the co-worker’s account to Julie Ann Mineard’s personal bank accounts. The check requests were made without the co-worker’s prior knowledge or authorization.
Allegedly, Julie Ann Mineard, used the funds for personal expenses, according to the letter of acceptance. Merrill Lynch terminated Mineard on November 6, 2017, according to FINRA’s BrokerCheck, due to “Allegations of inaccuracies regarding the Registered Representative’s characterization of disbursements from an employee’s account and changes made to a client account document.”
According to FINRA’s BrokerCheck, Julie Ann Mineard, has two disclosures on her CRD report with FINRA. One disclosure was her employment separation from Merrill Lynch, and the other was the regulatory barring her from the industry. Mineard was in the securities industry for 16 years and was only listed with the following firm:
03/22/2001 – 12/06/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED – SEATTLE, WA
If you’ve experienced losses due to the actions or recommendations of Julie Ann Mineard, formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED of SEATTLE, WASHINGTON, 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 our clients nationally before FINRA on a contingency fee basis—no fee to you if no recovery.