According to a recent Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA), Corrine Mittag was accused of making trade requests that came from emails. She never communicated by telephone with the individual who posed as a client. Mittag also allegedly falsely represented to two principals at BancWest that she had spoken to the customer regarding the request to sell securities and a request to wire transfer funds to a third party in a foreign jurisdiction. Ms. Mittag was terminated from BancWest. This is against securities rules and regulations. BancWest, her former firm, may be responsible for money losses because the firm did not reasonably supervise her. We sue firms such BancWest in the FINRA arbitration forum on a contingency fee basis. Please call us today at 312-332-4200 for a free consultation. There is no obligation.
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