FINRA recently announced that Dedric Hillery Gill III, a former registered representative with QA3 Financial Corp. in Omaha, Nebraska, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Gill consented to the described sanction and to the entry of findings that he engaged in private securities transactions by referring public customers to invest $266,000 in privately held companies without prior written notice to his member firm. The findings further stated that Gill borrowed from and loaned firm customers a total of $115,000 contrary to his firm’s procedures prohibiting its registered persons from lending money to, or borrowing money from, its customers.
According to Dedric Hill’s FINRA Broker Report (CRD), prior to working as a registered representative with QA3 Financial Corp. in Omaha, Nebraska, he was a registered representative with Robert W. Baird & Co. Incorporated, a registered broker-dealer based in Milwaukee, Wisconsin, and Corelink Financial Inc., a registered broker-dealer based in St. Cloud, Minnesota. Hill’s CRD also indicates that FINRA’s investigation is not the first time that he has been named in an action relating to possible securities fraud or securities violations. His CRD indicates that he has been named in at least 3 regulatory actions and 4 customer complaints.
If you have questions regarding investments you made with Dedric Hillery Gill III or QA3 Financial Corp., or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm has over 30 years of experience in securities litigation matters and handles matters throughout the country and the midwest, including reviewing securities fraud cases in Omaha, Sioux City, Lincoln, Kansas City, Des Moines, Iowa City, Topeka, and Columbia. To contact the firm, please call 312-238-9650. Or, for more information on The White Law Group, please visit our website at https://whitesecuritieslaw.com.Tags: Chicago, D. Daxton White, Dedric Hillery Gill III, FINRA, investment losses, Nebraska, Omaha, QA3 Financial Corp., Securities Attorney, The White Law Group Last modified: July 17, 2015