Dennis McMurray— Alleged Private Securities Transactions & Selling Away
Dennis McMurray Terminated by Girard Securities, Inc after the Firm Filed a Form U5 Related to an Internal Review of McMurray’s Alleged Practices of Selling Away and Participation in Private Securities Transactions
Dennis McMurray was terminated by Girard Securities, Inc. and the firm filed a Form U5 on September 15, 2016 relating to an internal review of McMurray’s alleged practices of selling away and participation in private securities transactions, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Jason Kane and James Booker.
Investors who believe they may have lost money in activity related to Dennis McMurray’s alleged practices of selling away and participation in private securities transactions are encouraged to contact attorneys Jason Kane or James Booker with any useful information or for a free, no obligation discussion about their options.
The Peiffer Wolf Carr & Kane securities lawyers are currently investigating Dennis McMurray’s alleged practices of selling away and participation in private securities transactions.
Dennis McMurray, of Irvine, California, and a broker formerly registered with Girard Securities, Inc., came under the scope of a FINRA investigation into his alleged misconduct on March 31, 2017, according to the aforementioned AWC.
Subsequently, FINRA sent a letter to McMurray y requesting that McMurray provide information and documentation to FINRA staff by April 14, 2017, in accordance with FINRA Rules, the AWC states.
Dennis McMurray Barred by FINRA from Associating with any FINRA Member in any Capacity Following His Alleged Failure to Provide Documents and Information Requested by FINRA
McMurray allegedly received FINRA’s aforementioned request, then purportedly obtained counsel and sought an additional month to provide FINRA staff with a response, according to the aforementioned AWC currently being reviewed by attorneys Jason Kane and James Booker.
McMurray was then allegedly given two additional extensions to cooperate, wherein FINRA imposed a June 30, 2017 deadline, the AWC notes. At the deadline, however, McMurray, however, reportedly failed to hand over information and documentation at the deadline that FINRA sought, the AWC reports.
As a result, McMurray allegedly violated FINRA Rules and hence has been barred by FINRA from associating with any FINRA member in any capacity, the AWC states.
Finally, one should also note that, according to the AWC, Dennis McMurray, neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Wolf Carr & Kane securities lawyers often represent investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Dennis McMurray’s alleged practices of selling away and participation in private securities transactions. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Dennis McMurray’s alleged practices of selling away and participation in private securities transactions may contact the securities lawyers at Peiffer Wolf Carr & Kane, Jason Kane or James Booker, for a free no-obligation evaluation of their recovery options, at (585) 310-5140 or via e-mail at firstname.lastname@example.org or email@example.com.