Joseph G. Mahalick—Sales Practice and Registration Violations
Joseph G. Mahalick Allegedly Engaged in Potential Sales Practice Violations, Potential Registration Violations, and Potential Violations of Books and Records Rules
Joseph G. Mahalick, formerly of the Chicago branch of Newport Coast Securities, Inc., allegedly violated potential sales practice and potential registration practices, and also potentially violated of books and records rules, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Jason Kane and Joe Peiffer.
The Peiffer Wolf Carr & Kane securities lawyers are currently investigating Joseph G. Mahalick, who was terminated by Newport Coast Securities, Inc. on October 15, 2015, for numerous alleged violations of FINRA Rules, including potential sales practice and registration practices.
Joseph G. Mahalick Barred by FINRA for Alleged Refusal to Cooperate with FINRA Staff Requests to Appear and Give Testimony at an On-the-record Interview Regarding Activities at Newport Coast
Joseph G. Mahalick allegedly received a request from FINRA on December 1, 2015 to appear and give testimony at an on-the-record interview in connection to his activities at NewportCoast, according to an AWC currently under review by attorneys Jason Kane and Joe Peiffer.
Joseph G. Mahalick allegedly repeatedly refused numerous further requests from FINRA to appear for testimony, and, hence, violated FINRA Rules, the AWC notes. As a result, Joseph G. Mahalick has been barred by FINRA.
One should also note that, according to the AWC, Joseph G. Mahalick 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 violations of potential sales practices and potential registration practices, and also potential violations of books and records rules. They are currently investigating Joseph G. Mahalick’s alleged violations, and refusal to appear for on-the-record testimony. 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 Joseph G. Mahalick’s alleged violations, including alleged violations of potential sales practices and potential registration practices, and also potential violations of books and records 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.