Harry James Poulos– Failure to Comply with Firm Policy, Outside Business Activities
Harry 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 Jason Kane 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 Wolf Carr & Kane 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 Jason Kane 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 Wolf Carr & Kane 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 Wolf Carr & Kane, Jason Kane or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at (585) 310-5140.