Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, January, 2015.”
John Joseph Plunkett (CRD #2321368, Brooklyn, New York)
was barred by FINRA and the SEC sustained the bar imposed by the National Adjudicatory Council (NAC).
These sanctions were based on findings that Plunkett removed his former member firm’s books and records without the firm’s authorization, and erased the firm’s electronic files and computer servers.
The SEC also upheld the NAC’s findings that Plunkett partially failed to respond to FINRA’s requests for information and documents.
(FINRA Case #2006005259801)
John Joseph Plunkett was registered in the securities industry for 15 years and was previously registered with the following securities firm(s):
06/2006 - 01/2010 EMERALD INVESTMENTS, INC. (CRD# 139511) - NEW YORK, NY
04/2006 - 07/2006 SUCCESS TRADE SECURITIES, INC. (CRD# 46027) - WASHINGTON, DC
02/2004 - 04/2006 LEMPERT BROTHERS INTERNATIONAL USA, INC. (CRD# 128241) - NEW YORK, NY
09/2001 - 04/2003 U.S. SECURITIES & FUTURES CORP. (CRD# 36045) - NEW YORK, NY
01/2001 - 06/2002 WESTOR ONLINE, INC. (CRD# 103823) - HERKIMER, NY
FINRA expelled the firm in 06/2013
09/1996 - 02/2001 SEABOARD SECURITIES, INC. (CRD# 755) - FLORHAM PARK, NJ
FINRA expelled the firm in 02/2011
04/1996 - 09/1996 LT LAWRENCE & CO., INC. (CRD# 31956) - NEW YORK, NY
FINRA expelled the firm in 02/2000
03/1996 - 04/1996 MONITOR INVESTMENT GROUP, INC. (CRD# 31007) FINRA expelled the firm in 11/2000
06/1994 - 03/1996 GOLDIS FINANCIAL GROUP, INC. (CRD# 16444) - GARDEN CITY, NY
01/1995 - 04/1995 GOLDIS - PITTSBURG INSTITUTIONAL SERVICES, INC. (CRD# 36754) - GREAT NECK, NY
04/1994 - 06/1994 DUNHILL EQUITIES, INC. (CRD# 21822) - GARDEN CITY, NY
08/1993 - 03/1994 COMPREHENSIVE CAPITAL CORP. (CRD# 6215) - GREAT NECK, NY
This ends the summation of information from FINRA.
If you have suffered financial losses through your broker or financial advisor, call a Securities Arbitration Lawyer for a free consultation at 888-760-6552. Soreide Law Group represents clients nationwide before FINRA.
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