South Florida Arbitration & Litigation Lawyer Blog
South East United States FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq.
May, 2011
John Matthew Dwyer III (CRD #2376954, Registered Representative, Atlanta, Georgia, formerly licensed with UBS Financial Services, Inc.) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Dwyer consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information. (FINRA Case #2009020095001).
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