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Showing 1 to 20 results out of 14174
NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: In August 2014, the Respondent processed a redemption in the amount of $8,545 in client AP’s account based upon email instructions received from a third party frau...
By simplistics , on 11/16/2016

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between July 2013 and November 2015, the Respondent engaged in securities related business that was not carried on for the account of the Member or conducted through...
By simplistics , on 06/08/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: In March 2018, the Respondent submitted for processing to the Member two trades for which he stood to earn commissions, after being informed by his Branch Manager that...
By simplistics , on 08/20/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between June 21, 2017 and June 28, 2018, the Respondent misappropriated approximately $116,084 from 1 client and 12 other individuals, contrary to MFDA Rule 2.1.1. Al...
By simplistics , on 08/20/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between November 2016 and October 2017, the Respondent processed 18 transactions in respect of 18 clients as redemptions and purchases, rather than as switches, to en...
By simplistics , on 08/21/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between May 4, 2018 and June 28, 2018, the Respondent signed the signature of a client on 3 forms relating to transferring the commuted value of a client’s pension...
By simplistics , on 10/05/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Commencing in November 2018, the Respondent failed to cooperate with an investigation by MFDA Staff into his conduct, contrary to section 22.1 of MFDA By-Law No. 1. PA...
By simplistics , on 10/07/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between January 2017 and May 2018, the Respondent opened and processed trades in fictitious mutual fund client accounts which made him eligible to receive promotional...
By simplistics , on 11/06/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: In or about February 2014, the Respondent engaged in personal financial dealings with a client when he borrowed or otherwise accepted approximately $18,000 from one o...
By simplistics , on 11/11/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between June 14, 2013 and January 15, 2019, the Respondent obtained, possessed, and in some instances, used to process transactions, 172 pre-signed account forms in r...
By simplistics , on 11/20/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between February 14, 2018 and October 19, 2018, the Respondent misappropriated, or failed to account for, monies from two clients, thereby failing to deal fairly, hon...
By simplistics , on 11/23/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between December 10, 2015 and November 8, 2018, the Respondent obtained, possessed, and used to process transactions, 9 pre-signed account forms in respect of 6 clien...
By simplistics , on 12/02/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between June 2013 and February 2017, the Respondent engaged in personal financial dealings with clients by: jointly investing with clients in real estate investment...
By simplistics , on 12/14/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Commencing in 2016, the Respondent recommended that approximately 25 clients concentrate all, or a substantial portion, of their account holdings in precious metals s...
By simplistics , on 12/15/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: In or around September 2014, the Respondent recommended a trade in a mutual fund that unnecessarily subjected a client to a deferred sales charge schedule and generate...
By simplistics , on 12/17/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between December 2017 and January 2018, the Respondent engaged in personal financial dealings with a client when he received monies of a client that he deposited into...
By simplistics , on 12/17/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between September 2015 and April 2018, the Respondent engaged in securities related business that was not carried on for the account and through the facilities of the...
By simplistics , on 12/22/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between September 2013 and April 2014, the Respondent allowed an unregistered individual to open new accounts at the Member and make investment recommendations for cl...
By simplistics , on 12/31/2020

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: On or about August 29, 2017, the Respondent signed a client’s signature on two account forms and submitted the forms to the Member for processing, contrary to MFDA...
By simplistics , on 01/04/2021

NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA: Allegation #1: Between September 2015 and 2016, the Respondent failed to disclose or obtain approval for changes to an approved outside activity, contrary to the Member’s policies...
By simplistics , on 01/07/2021