Stoltmann Law Offices is investigating Royce O. Simpson. He entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Allegedly, Simpson failed to provide written notice to his member firm of his outside business activities regarding a gold mining operation in Ghana, Africa. FINRA fined him $15,000 and suspended him from associating with any firm for eight months.
Mr. Simpson was registered with: Dover Group, First Ohio Securities Company, Shearson Lehman Hutton Inc., Rotan Mosle Inc., Painewebber Inc., HSBC Securities, Rodman & Renshaw Inc., Everen Securities, J.C. Bradford, UBS Financial Services and Oppenheimer & Co. in Houston, Texas from November 2011 until February 2014. He has two customer disputes against him, and is not currently registered with any FINRA member firm.
If you wish to sue Royce O. Simpson, please call us at 312-332-4200 to speak to an attorney about your options. The call is free with no obligation. We sue firms such as Oppenheimer & Co. for failing to properly supervise their employees.
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