Malcolm Segal (CRD #1723563, Langhorne, Pennsylvania) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Segal consented to the sanction and to the entry of findings that he failed to provide documents and information or appear for testimony, as FINRA requested, involving an investigation into allegations that he transferred member firm customer funds via wire to an outside business under his control.
For the full FINRA findings, see FINRA Case #2014041990901.
According to his FINRA Broker Report, Segal was registered with Aegis Capital Corp from 04/2011 – 07/2014. His FINRA Broker Report also indicates that he has been the subject of at least 5 customer complaints, with at least one alleging misappropriated funds in a “CD.”
The foregoing information, which is all publicly available, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650.
For more information on The White Law Group, visit https://www.whitesecuritieslaw.com