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 is investigating potential investor claims involving Cove Capital 1031 Delaware Statutory Trust (DST) investments and whether brokers improperly recommended these specific tax-deferred real estate offerings. Cove Capital 1031 DSTs are structured investments that allow investors to reinvest proceeds from the sale of real estate into fractional interests in institutional-grade properties while deferring […]
Investors might have sustained losses due to securities broker Marc Charles Koch [CRD: 4978078, New York, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Koch worked for Morgan Stanley from March 30, 2023, to the present, First Republic Investment Management Inc. from November 7, 2022, to April 25, […]
Investors potentially incurred losses because of securities broker Stephen Charles Newell Hlibok (also known as Stephen Hlibok and Steve Hlibok) [CRD: 1728900, Columbia, Maryland], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hlibok worked for Merrill Lynch Pierce Fenner Smith Incorporated from September 25, 1987, to the present as a broker, and from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com