Soreide Law Group (888-760-6552) obtained the following information from the January 2017 Disciplinary Report on FINRA’s website;
Richard Lynn Hollan (CRD #1401016, Houston, Texas)
was fined $5,000 and suspended by FINRA for one month.
According to the FINRA report, during the time period of June 10, 2013 through September 10, 2015, Richard Hollan allegedly mismarked 132 order tickets in five clients’ accounts as unsolicited orders when in fact the the trades were solicited, causing his member firm to maintain inaccurate books and records.
Richard Lynn Hollan’s suspension was in effect from December 19, 2016, through January 18, 2017.
(FINRA Case #2015043417508)
According to FINRA’s BrokerCheck, Richard Lynn Hollan has been registered in the securities industry for 31 years and was listed with 12 firms. Hollan is currently registered since 6/21/07 with:
SHEARSON FINANCIAL SERVICES, LLC
1800 South Mason Suite 240
Katy, TX 77450
Richard Lynn Hollan was previously registered with the following firm:
10/27/1997 - 07/11/2007 INSTITUTIONAL CAPITAL MANAGEMENT - HOUSTON, TX
If you were a client of Richard Lynn Hollan with SHEARSON FINANCIAL SERVICES, LLC of Katy, Texas, and you experienced investment losses due to his recommendations or actions, call Soreide Law Group for a no cost consultation with a lawyer regarding the possibility of your recovering the financial losses at: 888-760-6552.
Soreide Law Group operates on a contingency fee basis and we represent clients nationwide before FINRA.
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