Did Roger Allan Duval Cause You Investment Losses?
Roger Allan Duval of Liberty Lake, Washington has been permanently barred from association with any FINRA member in all capacities. The sanction was based on findings that he allegedly converted funds for his own personal use in violation of FINRA Rules 2150(a) and 2010.
From March 2017 through April 2019, Roger Allan Duval was associated with both Mass Mutual and Pruco and as a general securities representative. According to the FINRA findings, Duval had helped three customers open a brokerage account away from the firms and allegedly converted $130,000 from their accounts by using their logins and writing checks to himself without their knowledge or approval. The findings stated that once Duval deposited the checks, he would transfer some of the funds over to his account for his own personal use. Although Duval is no longer associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction.
FINRA Rule 2150(a) provides that no “person associated with a member shall make improper use of a customer’s securities or funds.” FINRA Rule 2010 requires associated persons, in the conduct of their business, to observe “high standards of commercial honor and just and equitable principles of trade.” Conversion is the intentional and unauthorized taking of and/or exercise of ownership over property by one who neither owns the property nor is entitled to possess it. Conversion of customer funds is a violation of FINRA Rules 2150(a) and 2010.
Do You Need a Washington FINRA Securities Arbitration Attorney?
Are you a Liberty Lake, Washington investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Washington stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.
Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Liberty Lake, Washington Residents in FINRA Arbitrations
At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Washington, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
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For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Washington citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.