Harry James Poulos– Failure to Comply with Firm Policy, Outside Business Activities

investment fraud attorney ClevelandHarry James Poulos Allegedly Failed to Fully Disclose Information Related to his  Outside Business Activities to His Member Firm, Lincoln Financial

Harry James Poulos allegedly had his broker’s registration terminated for failure to comply with Lincoln Financial policy, according to a recent FINRA Letter of Acceptance, Waiver and Consent currently under review by attorneys Alan Rosca and Joe Peiffer.

Harry James Poulos allegedly violated a tenant of that policy which stated that he did not fully disclose information related to his approved outside business activities, the AWC reports.

The Peiffer Rosca Wolf securities lawyers are presently conducting an investigation into Harry James Poulos Matthew’s alleged conversion and theft of funds.

Harry James Poulos Barred by FINRA for Alleged Failure to Provide On-the-record Testimony Relating to Unapproved Outside Business Activities

Harry James Poulos has been barred by FINRA for failure to provide on-the-record testimony, during the course of an investigation into, among other things, the conduct described on his Form U5, according to the aforementioned AWC presently being reviewed by attorneys Alan Rosca and Joe Peiffer.

Harry James Poulos, who was registered with Lincoln Financial Advisors Corporation from December 2012 until Lincoln terminated his registration on August 28, 2014, received a letter from FINRA requesting that he appear for testimony on January 7, 2016, pursuant to FINRA Rules, the AWC notes.

Poulos’s counsel then allegedly contacted Enforcement staff to acknowledge that Poulos would not appear for testimony at any time, and Poulos did not appear for the scheduled testimony on January 7, 2016, and thus violated FINRA Rules, the AWC reports. One should also note that, according to the AWC, Harry James Poulos 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 outside business activities and are currently investigating Harry James Poulos’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 Harry James Poulos’s alleged outside business activities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1247 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.