South Florida Arbitration & Litigation Lawyer Blog
Stock Broker Mismanagement, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.
January, 2012:
James Clement Hanrahan (CRD #5487504, Registered Representative, Alpharetta, Georgia) 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, Hanrahan consented to the described sanction and to the entry of findings that he failed to respond to a FINRA request for information regarding an outside business activity and an outside securities account. The findings stated that Hanrahan notified FINRA staff that he would not provide any of the requested information. (FINRA Case #2011025678701).