George Dahl—Alleged Outside Business Activities
George Dahl Allegedly Performed Outside Business Activities for Compensation without Providing Written Notice to Revere Securities, His Member Firm
George Dahl, a New York-based Revere Securities broker, allegedly performed outside business activities for compensation without providing written notice to his member firm, Revere Securities, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.
Investors who believe they may have lost money in activity related to George Dahl’s alleged outside business activities are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.
The Peiffer Rosca Wolf securities lawyers are currently investigating George Dahl’s alleged outside business activities.
George Dahl allegedly acted as a broker or otherwise allegedly associated with firms that sell securities to the public, according to the aforementioned AWC.
On July 5, 2017, FINRA Staff purportedly sent a request to Dahl to appear on July 21, 2017 for an on-the-record interview pursuant to FINRA Rules, and on July 21, 2017, Dahl purportedly appeared for the on-the-record interview, the AWC states. Dahl, however, allegedly refused to provide testimony to the Staff, the AWC notes.
George Dahl Barred by FINRA
George Dahl, by virtue of the foregoing and aforementioned behavior, allegedly violated FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.
FINRA Rules clearly state that FINRA may “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically… with respect to any matter involved in the investigation … “and that “[n]o member or person shall fail to provide information or testimony… pursuant to this Rule”, the AWC notes.
George Dahl has spent 44 years in the securities industry and was most recently registered with Revere Securities in New York, New York, and previous registrations include Newport Coast Securities in Irvine, California; Wedbush Securities in Newport Beach, California; Brookstreet Securities in San Juan Capistrano, California; the Seidler Companies Incorporated in Irvine, California; RBC Dain Rauscher in New York, New York; and Sutro & Company in San Francisco, California.
According to Dahl’s FINRA BrokerCheck report, he has received two FINRA sanctions, six customer complaints and one pending customer complaint.
One should also note that, according to the AWC, George Dahl, who entered the securities industry in 1993, 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 investment fraud and are currently investigating George Dahl’s alleged outside business activities. 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 George Dahl’s alleged outside business activities 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 email@example.com or firstname.lastname@example.org.