Mickey—Failure to Appear for FINRA Testimony
David E. Mickey Allegedly Failed to Appear for Testimony Regarding a FINRA Investigation into His Trading Activities, Including Whether Mickey Traded Securities Based on Non-public Information
David E. Mickey allegedly failed to appear for testimony regarding a FINRA investigation into his securities trading activities, and whether Mickey traded securities on the basis of material, non-public information, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC).
In addition, David E. Mickey, on November 4, 2014, had a U5 Termination Letter filed against him by LPL Financial filed that disclosed that he had been terminated for selling securities during a blackout period and while in possession of certain material, non-public information, according to the AWC.
David E. Mickey first entered the securities industry in 1996, and obtained Series 7 and Series 63 licenses in 1996 and a Series 24 license in 1998, according to the AWC. He also registered with LPL Financial in June of 2010, but was terminated from LPL Financial on October 25, 2014, the AWC also notes.
David E. Mickey Barred by FINRA
David E. Mickey received a letter from FINRA requesting to appear for on-the-record testimony, but, through counsel, allegedly refused to provide sworn testimony, according to the AWC.
David E. Mickey, by allegedly refusing to appear for on-the-record testimony as requested pursuant to FINRA Ruled, violated FINRA Rules, and hence has been barred from associating with any FINRA member in any capacity, the AWC also notes.
The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors
The Peiffer Rosca Wolf securities lawyers assist investors who lose money as a result of brokers trading securities on non-public material. 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 brokers trading securities on non-public material are encouraged to 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.