Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.”
Denise Ellen Roy Malin (CRD #3145027, Registered Principal, Grottoes, Virginia)
was barred from association with any FINRA member in any capacity. Malin's customer opened variable annuity accounts and a mutual fund brokerage account and invested $16,600 in the mutual fund account and $65,000 in the variable annuities. Malin had a power of attorney for the customer.
FINRA's findings stated that Malin began withdrawing funds from the customer’s brokerage account, totaling approximately $16,660 by logging into the account through the firm’s electronic account system, without the customer’s authorization. Malin gave the customer $5,000 and converted the remaining $11,660 for her personal use. Malin also converted approximately $81,633 from the customer’s mutual fund brokerage account and the variable annuities.
(FINRA Case #2012034386401)
Denise Malin was previously registered with the following FINRA firm:
PFS INVESTMENTS INC. (CRD# 10111) - WEYERS CAVE, VA
03/1999 - 10/2012
This ends the summation of information from FINRA’s website.
Soreide Law Group, represents clients nationwide in arbitrations before FINRA. For a free consultation on how to potentially recover your investment losses call: 888-760-6552.
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