FINRA
3 Times - Screwed Me 

Arbitration # 19-00524

$18,581 - Stabilization Agreement
$5 Million - Counter Suit

Failure to produce evidence
David Tufts & Brian Reichberg
"Statements made to FINRA"

Francis Carling - Arbitrator
No Assistance

U5 - FINRA License

Department Of Enforcement
3 Investigators
18 months
100 documents Submitted
Not a Truthful Disclosure
Refused to Disclose Submissions</span

CRD Disclosures

Inaccurate Reporting
Challenged Disclosure

Shut Me Down

U5 - Truthful Public Disclosure

“Without admitting or denying the findings, Templeton consented to the sanction and to the entry of findings that he failed to provide documents and information requested by FINRA during the course of an investigation into allegations that he, among other things, misused customer funds and committed other sales practice violations.”
2015
Sep 24
Oliver Kamp - Department of Enforcement
FORM 5 Investigation - Comprehensive Request
 

View Request

Nov 11
MY WRITTEN Response - 
12 Attachments  
5 email responses
Nov 24
Oliver Kamp - Department of Enforcement
Emailed Follow Up Questions
Nov 25
Oliver Kamp - Department of Enforcement
Emailed Follow Up Questions
Dec 3
Oliver Kamp - Department of Enforcement
Emailed Follow Up Questions
2016
May 26
Elizabeth Virga
Department of Enforcement
FORM 5 Investigation
8 pages - Over 100 questions 
14 questions each with 8 sub questions 
June - July
Templeton Responses
15 Separate emails
50 + Attachments
Dec 19
Elizabeth Virga
Department of Enforcement
FORM 5 Investigation
7 pages - Over 50 questions
15 questions each with 5-9 sub questions
2017
Jan 4 - 6
Templeton Responses
20 separate emails
30 + attachments
March 19
Elizabeth Virga
Gino Ercolino 
Propose Untruthful Statement
with Omitted Disclosure for AWC 
March 29
I requested...
"Please add 2 words and 1 date" 
"On September 24th 2015" before May 26th...
For truthful & accurate reporting  
March 29
Virga & Ercolino BOTH shockingly
replied back stating same thing...
"Unfortunately FINRA cannot accept
your proposed changes"
April 6
David Tufts - AWC

Without admitting or denying the findings, Tufts consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony requested by FINRA during the course of an investigation into, among other things, his supervision over a former registered representative of his member firm.

View PDF

April 20
Gregg Templeton - AWC signed

“Without admitting or denying the findings, Templeton consented to the sanction and to the entry of findings that he failed to provide documents and information requested by FINRA during the course of an investigation into allegations that he, among other things, misused customer funds and committed other sales practice violations.”

- The Public record even includes extension requests but not the initial explanation
- But will NOT truthfully, nor accurately disclose all my Submissions

View PDF

FINRA Broker Check – Dispute Form  – BLEW ME OFF – NOTHING DONE
 
  • November 20th 2016 – Form and attachments
  • December 6th 2016 – FINRA said everything is reported correctly?
WordPress Lightbox