Norman Kirby Farra– Undisclosed Outside Business Activities and Private Securities Transactions

Rochester stockbroker fraud attorneyNorman Kirby Farra, Jr. Allegedly Participated in Undisclosed Outside Business Activities and Private Securities Transactions

Norman Kirby Farra allegedly participated in undisclosed outside business activities and private securities transactions, according a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating investment recovery options on behalf of investors in issues related to Norman Kirby Farra’s alleged participation in undisclosed outside business activities and private securities transactions.

Investors who believe they may have lost money in activity related to Norman Kirby Farra’s alleged participation in undisclosed outside business activities and private securities transactions are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

On January 20, 2017, FINRA Staff sent a request to Norman Kirby Farra for on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC. Said request allegedly asked that Farra produce various documents and information no later than February 3, 2017, the AWC states.

The Peiffer Rosca Wolf securities lawyers are currently investigating Norman Kirby Farra’s alleged material misrepresentations.

Norman Kirby Farra Barred by FINRA; Farra Allegedly Failed to Respond to a FINRA Request to Provide Documents and Information

Norman Kirby Farra allegedly failed to produce the requested documents and information requested pursuant to FINRA in the course of a FINRA investigation regarding alleged undisclosed outside business activities, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Hence, Norman Kirby Farra’s alleged behavior violated FINRA Rules and therefore he has been barred from associating with any FINRA member firm in any capacity, the AWC notes.

FINRA Rules require that members and associated persons observe high standards of commercial honor and “just and equitable principles of trade”, the AWC reports.

Norman Kirby Farra’s FINRA BrokerCheck Report reveals that he has only one customer dispute from 1997 which alleged breach of fiduciary duty, negligence and breach of contract which resulted in an award of $116,000.

One should also note that, according to the AWC, Norman Kirby Farra neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment fraud and are currently investigating Norman Kirby Farra’s alleged participation in undisclosed outside business activities and 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 Norman Kirby Farra’s alleged participation in undisclosed outside business activities and private securities transactions may 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1125 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.