Jeffrey Allan Mohlman—Unapproved and Undisclosed Private Securities Transactions

New Orleans investment fraud attorneyJeffrey Allan Mohlman Allegedly Executed Unapproved and Undisclosed Private Securities Transactions

Jeffrey Allan Mohlman allegedly executed unapproved and undisclosed private securities transactions, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Mohlman received a request from FINRA that he appear for on-the-record (OTR) testimony, according to the AWC.

Mohlman, as stated in an e-mail, through his counsel, acknowledged that he received FINRA’s request for his OTR testimony and that he would not appear for the OTR testimony at any time, the AWC reports. The Peiffer Rosca Wolf securities rights lawyers are currently investigating Mohlman’s alleged unapproved and undisclosed private securities transactions.

Jeffrey Allan Mohlman Barred for Refusing to Provide OTR Testimony

Jeffrey Allan Mohlman, by purportedly refusing to appear and provide OTR testimony as requested by FINRA, allegedly violated FINRA Rules currently under review by attorneys Alan Rosca and Joe Peiffer.

As a result, Jeffrey Allan Mohlman has been barred by FINRA in all capacities from associating with any FINRA member, the AWC reports.

It should also be noted that Mohlman accepted and consented, without admitting or denying the FINRA findings solely for the purposes of the FINRA proceeding and any other proceeding brought by or on behalf of FINRA, according to the AWC.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unapproved and undisclosed private securities transactions. They are currently investigating Jeffrey Allan Mohlman’s alleged unapproved and undisclosed 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 alleged unapproved and undisclosed private securities transactions may contact the investors rights 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 (1123 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.