FINRA Bars Anthony “Tony” Liddle after he Failed to Provide Information in its Investigation
According to a Letter of Acceptance Waiver and Consent on June 14, the Financial Industry Regulatory Authority (FINRA) has barred Anthony “Tony” Liddle (CRD#: 5478479) from associating with any FINRA member at any time after Liddle reportedly refused to provided information in its investigation.
In late May 2022, FINRA reportedly learned that Liddle allegedly borrowed more than $1.8 million from at least 13 of his customers while he was associated with his member firm, according to the letter.
On June 2, 2022, FINRA sent requests to Liddle for information and documents and for on-the-record testimony. By refusing to produce the information and documents and by refusing to appear for on-the-record testimony, Liddle is barred from the securities industry.
Tony Liddle was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry:
04/27/2020 – 05/27/2022, LANDOLT SECURITIES, INC. (CRD#:28352), OSHKOSH, WI,
10/18/2012 – 04/28/2020, WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262), Wausau, WI
Potential Lawsuits to Recover Financial Losses
The White Law Group is investigating potential securities claims involving Anthony “Tony” Liddle and the liability his employers may have for failure to supervise him. When brokers and registered investment advisors violate securities laws, such as taking loans from customers or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington.
We represent investors in all 50 states including Wisconsin. Our attorneys have recovered millions of dollars from many brokerage firms in the past.
If you are concerned about your investments with Anthony “Tony” Liddle, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.
Tags: Anthony "Tony" Liddle barred, Anthony "Tony" Liddle complaints, Anthony "Tony" Liddle customer loans, Anthony "Tony" Liddle FINRA, Anthony "Tony" Liddle investigation, Anthony "Tony" Liddle investment losses, Anthony "Tony" Liddle lawsuit, Anthony "Tony" Liddle Western International, Landolt Securities Last modified: November 30, 2022