William Oscar Hardy Jr. (CRD #1444999, Tallahassee, Florida)
was barred by FINRA for allegedly misusing funds for a client’s insurance premium, causing the client’s policy to lapse.
FINRA’s findings stated that Hardy, instead of using $658 he received to pay the premium on the customer’s fixed life insurance policy, applied some of the funds to other insurance policies held by the client’s daughter and son-in-law. Hardy also deposited some of the customer’s funds into his personal business checking account.
(FINRA Case #2014039881901)
William Oscar Hardy Jr. was previously registered with the following firms:
05/2002 – 03/2014 NYLIFE SECURITIES LLC (CRD# 5167) – TALLAHASSEE, FL
12/1985 – 03/2002 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD# 611) – OMAHA, NE
This summation from FINRA’s July 2015 Disciplinary Report ends here.
If you or a loved one were the victim of insurance fraud, contact an insurance fraud attorney at Soreide Law Group for a free consultation on how to recover your investment losses: 888-760-6552.
Soreide Law Group, PLLC, will represent Insurance Fraud Victims in Federal Court, State Court and before the Financial Industry Regulatory Authority (“FINRA”).