April 28, 2015-Boca Raton, FL
Richard Winsor Ohrn , was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was registered with Chase Investment Services he converted over $15,000 from two of his elderly customers. In addition, the findings state that Ohrn forged the signatures of four customers on firm documents.
Ohrn was barred from associating with any FINRA member in any capacity.
Disciplinary Proceeding NO. 2012030987301
According to FINRA records , after leaving Chase Investment Services, Ohrn was registered with Wells Fargo, LLC.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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