South Florida Arbitration & Litigation Lawyer Blog
Securities and Investment Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq.
December, 2011:
Mike Givilancz Jr. (CRD #2141251, Registered Representative, Weslaco, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Givilancz consented to the described sanction and to the entry of findings that he failed to provide testimony FINRA requested in connection with an investigation of Givilancz’ possibly obtaining loans from customers. The findings stated that Givilancz, through his attorney, informed FINRA that he would not appear for scheduled testimony on the date scheduled or on any date in the future. (FINRA Case #2010024973901).