Barkley J. Lundy Jr. Barred for Allegedly Commingling Funds into Personal Bank Account and Falsifying Tax Forms

California stockbroker fraud attorney

From approximately January 2011 through March 2014, Barkley J. Lundy Jr., formerly of PFS Investments Inc., received funds from at least 20 Firm customers and then deposited said funds into his personal bank, a FINRA Letter of Acceptance, Waiver and Consent (AWC) alleges. Lundy transferred the funds into his personal bank accounts without prior consent… Read more »

Arnab Sarkar Allegedly Failed to Properly Notify Northwestern Mutual Investment of Outside Business Activities

California stockbroker fraud attorney

Between August and September 2012, Arnab Sarkar, of El Cerrito, California, took part in a currency trading and real estate business, Denari Capital LLC, without providing prior written notice to his broker-dealer, Northwestern Mutual Investment Services, LLC (NMIS), a FINRA Letter of Acceptance, Waiver, and Consent (AWC) alleges. Sarkar was associated as an Investment Representative… Read more »