Dominic Thomas DeBruin—Potential Private Securities Transactions

Rochester stockbroker fraud attorneyDominic Thomas DeBruin Allegedly Deposited Client Funds Purportedly Related to Potential Private Securities Transactions Undisclosed to LPL Financial LLC

Dominic Thomas DeBruin allegedly deposited client funds which were purportedly related to potential private securities transactions undisclosed to LPL Financial LLC into a bank account DeBruin purportedly controlled, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Soon afterward FINRA started an investigation into the alleged misconduct described on a Form U5 filed by LPL Financial, the AWC reports.

The Peiffer Rosca Wolf securities lawyers are investigating Dominic Thomas DeBruin’s alleged private securities transactions.

Dominic Thomas DeBruin Barred for Allegedly Refusing to Provide Information and On-the-record Testimony to FINRA

Dominic Thomas DeBruin has been barred by FINRA for allegedly refusing to provide information and documents, according to the aforementioned AWC presently under review by attorneys Alan Rosca and James Booker.

Furthermore, Dominic Thomas DeBruin allegedly failed to appear for on-the-record testimony related to the aforementioned investigation into whether he purportedly deposited client funds into a bank account DeBruin controlled, the AWC notes.

One should also note that, according to the AWC, Dominic Thomas DeBruin neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged financial fraud and are currently investigating Dominic Thomas DeBruin’s alleged 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 Dominic Thomas DeBruin’s alleged private securities transactions may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1141 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.