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.
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