Soreide Law Group, (888) 760-6552, obtained the information below on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.”
Randy Willis Hayes III (CRD #5361647, Registered Representative, West Palm Beach, Florida)
was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hayes withdrew, or failed to credit, over $22,000 in funds from the accounts of bank customers.
FINRA's findings stated that Hayes did so without the customers' permission or the bank’s and by forging the customers’ signatures. Randy W. Hayes withdrew funds from the customers’ bank accounts and deposited some of the funds into his personal account at another bank.
The findings also included that Hayes withdrew $800 from a customer’s certificate of deposit (CD) without the customer’s or the bank’s permission or authority by forging the customer’s signature on a bank withdrawal form and deposited $500 into his personal account.
Randy Hayes failed to appear for FINRA-requested testimony.
(FINRA Case #2011026546701)
Randy Willis Hayes III was previously registered with FINRA at the following brokerage firms:
WELLS FARGO ADVISORS, LLC
CRD# 19616
WEST PALM BEACH, FL
08/2007 - 02/2011
This ends the information obtained on FINRA's Website.
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