South Florida Arbitration & Litigation Lawyer Blog
Securities Fraud FINRA Arbitration Lawyer, Russell L. Forkey, Esq.
June, 2011:
Darren Joseph Dietrich (CRD #1814017, Registered Representative, Plant City, Florida, formerly licensed with Brookstone Securities, Inc.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Dietrich failed to appear and testify at FINRA on-the-record interviews. The findings stated that Dietrich executed unauthorized transactions in the account of his member firm’s customer when he sold and purchased shares without the customer’s prior knowledge, authorization or consent. (FINRA Case #2009016660701).