According to FINRA’s March 2016 Disciplinary Report, Joseph Gregory Mahalick (CRD #5563167, Chicago, Illinois) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Mahalick consented to the sanction and to the entry of findings that he refused to cooperate with FINRA requests to appear and provide testimony in connection with a FINRA examination into his activities at his member firm concerning, among other things, potential sales practice violations, potential registration violations, and potential violations of books and records rules.
For FINRA’s full findings, see FINRA Case #2015045937401.
According to Mahalick’s FINRA Broker Report, he was registered with Newport Coast Securities from 04/2013 – 10/2015 and Meyers Associates from 11/2011 – 05/2013.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group.
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