The following summation information was found on FINRA’s website under “Disciplinary and Other FINRA Actions February 2015.” Call the Soreide Law Group, a Securities Arbitration Law Firm, at (888) 760-6552.
David Glenn Chapman (CRD #1702066, Holmdel, New Jersey)
was barred by FINRA for allegedly forging a deceased client’s signature on a document necessary to renew the client’s lapsed automobile insurance policy.
FINRA's findings stated that Chapman arranged for his assistant to pay the client’s outstanding premium on the policy; and as a result of reinstating the client’s policy, he earned a quarterly bonus of $325 from his member firm.
Also, FINRA stated that Chapman provided false information to FINRA concerning the renewal of the customer’s automobile insurance policy.
(FINRA Case #2014039785201)
According to FINRA's BrokerCheck, FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
David G Chapman was registered in the securities industry for 25 years and was previously registered with the following securities firms:
06/1988 - 01/2014 PRUCO SECURITIES, LLC. (CRD# 5685) - MATAWAN, NJ
06/1988 - 12/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD# 680) - NEWARK, NJ
02/1988 - 04/1988 F.D. ROBERTS SECURITIES, INC. (CRD# 693)
This ends the summation of information obtained on FINRA's website.
Call the Soreide Law Group for a free consultation with an attorney, 888-760-6552.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
Soreide Law Group está investigando posibles reclamaciones de inversionistas relacionadas con los bonos de DCM US Multi-Family Homes PLC vendidos o recomendados a través de Andbanc Brokerage LLC, Andbanc Advisory LLC, BCI Securities, Inc., Boreal Capital Securities, LLC (también conocida como Mora Capital Securities). Por otro lado, Mora WM Securities, LLC también estuvo involucrada. Si […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com