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.

Alan Rosca (1163 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.