RICHARD A. MCGUIRE

05/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Richard A. McGuire (CRD No. 4637028), Respondent. DISCIPLINARY PROCEEDING No. 20110273503 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During 2009 and 2010, Richard A. McGuire ("McGuire" or "Respondent"), while employed by TFS Securities, Inc. ("TFS") and Ameritas Investment Corp. ("Ameritas"), converted a total of approximately $95,000 from former Customer MP by misrepresenting that

11/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD A. MCGUIRE (CRD No. 4637028), Respondent. Disciplinary Proceeding No. 20110273503 Hearing Officer - RLP EXTENDED HEARING PANEL DECISION November 3, 2014 For converting funds of a former customer in violation of FINRA Rule 2010, Respondent is barred from associating with any FINRA member firm in any capacity and ordered to pay restitution to the former customer's estate in the amount of

12/17/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY ln the Matter of Department of Enforcement, Complainant, vs. Richard A. McGuire Bay Shore, NY, Respondent. DECISION Complaint No. 20110273503 December 17, 2015. Respondent converted former customer's funds and forged her signature. Respondent also engaged in outside business activities without providing written notice to his employing firms, failed to notify firms of outside brokerage accounts and his association with member

Reference 2011027350301data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org