The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
Earl William Fay (CRD #2492793, Registered Representative, Milton, Massachusetts)
was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Fay consented to the described sanctions and to the entry of findings that he impersonated customers in telephone calls to his member firm to effect transactions, which primarily consisted of sub-account re-allocations that the customers had authorized and/or the purchase or sale of certain securities, which were unsolicited.
FINRA's findings stated that in each instance, Fay placed a telephone call to the firm’s customer service center, identified himself as the customer, and proceeded to impersonate the customer to effect the transactions in question.
The suspension is in effect from May 6, 2013, through June 17, 2013.
(FINRA Case #2012034068501)
According to FINRA's BrokerCheck, Earl Fay was previously registered with FINRA at the following brokerage firm:
PRUCO SECURITIES, LLC.
CRD# 5685
NEEDHAM, MA
06/1994 - 09/2012
This ends the information obtained on FINRA’s website.
Soreide Law Group represents clients nationwide before FINRA. If you have sustained investment losses due to your stock broker/financial advisor’s recommendations, call for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
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