Stoltmann Law Offices is investigating Carol Susan Bunevich, a former registered representative with Fieldstone Services Corp. Bunevich entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA). Bunevich allegedly violated securities rules and regulations relating to net capital requirements during the period of July 1, 2009 through December 31, 2009. During this time, she was one of three executives at Fieldstone responsible for the net capital requirements of the trading activity of the executives and their employees. The trading unit established a position in high-risk internote bonds by purchasing them, but they did not maintain a sufficient capital cushion to permit the purchase and the applicable haircut required by the bonds. Their position in the bonds was over $3 million. In August of 2009, Bunevich and other executives moved the bonds into their personal accounts to avoid further net capital deficiency by the firm. There, they held the securities before re-selling them back to Fieldstone and its customers. For this, Bunevich was suspended from the industry for six months and was fined $47,500.
Ms. Bunevich was registered with Bear, Stearns & Co., Durian Securities, BDS Securities Corporation, Dabney/Resnick and Wagner, Merrion Group, Schroder & Co., Bluelake Partners, Fieldstone Services Corp., Further Lane Securities, and Lantern Investments Inc. She is not currently registered with any member firm. If you lost money with Carol Susan Bunevich, please call us at 312-332-4200 for a free consultation with one of our Chicago-based attorneys. You may be able to sue Fieldstone Services for not adequately supervising Ms. Bunevich, and they may be held liable for investment losses. We take cases on a contingency fee basis.
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