South Florida Arbitration & Litigation Lawyer Blog
Broker/Dealer and Investment Advisor Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq.
March, 2012:
Richard Anthony Neaton (CRD #2585328, Registered Representative, Port Charlotte, Florida) was barred from association with any FINRA member in any capacity. The SEC imposed the sanction following an order denying Motion for Reconsideration of an SEC opinion issued for an appeal of a NAC decision. The sanction was based on findings that Neaton willfully submitted Forms U4 that did not disclose material information, and willfully failed to update Forms U4 to disclose disciplinary actions and sanctions a state bar disciplinary board imposed on him. (FINRA Case #2007009082902).