Florida FINRA Arbitration Securities and Investment Fraud and Arbitration Attorney, Russell L. Forkey, Esq.

January, 2011:

Michael Anthony Nemcik (CRD #5405918, Registered Representative, Tampa, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Nemcik failed to respond to FINRA requests for information. The findings stated that Nemcik executed an unauthorized transaction in a customer’s account even though the customer had not granted him discretionary trading authority and did not authorize the purchase. (FINRA Case #2009017374501).