John Rothrock McKinstry—Unsuitable Recommendations and Misleading Statements and Omissions

Cleveland stockbroker fraud lawyerJohn Rothrock McKinstry Allegedly Made Unsuitable Recommendations and Misleading Statements and Omissions in Connection with Lending Arrangements to Customers

John Rothrock McKinstry allegedly made unsuitable recommendations and misleading statements and omissions in connection with lending arrangements to customers, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

The aforementioned statements were entered into with a certain charitable entity, for which McKinstry purportedly served as an unpaid director, said Complaint notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating John Rothrock McKinstry’s alleged unsuitable recommendations and misleading statements and omissions.

John Rothrock McKinstryBarred for Allegedly Declining to Continue to Fully Respond to Requests for Documents and Information and Declining to Appear for On-the-record Testimony

John Rothrock McKinstry, in March of 2016, during the course of an ongoing FINRA investigation, allegedly declined to continue to fully respond to requests for documents and information and declined to appear for on-the-record testimony, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

John Rothrock McKinstry, as a result, allegedly violated FINRA Rules during the course of an investigation that he had made unsuitable securities recommendations to four customers, the Complaint notes.

John Rothrock McKinstry, as a result of the aforementioned behavior, has been barred by FINRA, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of unsuitable recommendations, and are currently investigating John Rothrock McKinstry’s alleged unsuitable recommendations. 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 John Rothrock McKinstry’s alleged unsuitable recommendations are encouraged to 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.

Alan Rosca (1174 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.