Jamie David Pope (CRD #4172805, Winter Park, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pope consented to the sanction and to the entry of findings that he converted funds a customer of his member firm provided to him for the express purposes of investing in one of Pope’s outside business activities involving the sale of premium finance and purchasing real estate. The findings stated that rather than using the entirety of the funds for the customer’s intended purpose, Pope converted a significant portion of the funds to his own use and benefit. The customer issued checks totaling $60,000 personally to Pope. Pope represented that the entirety of the funds would be used for the customer’s intended purpose. At no time did the customer authorize Pope to use the funds for any other purpose. However, after depositing the funds into his personal checking account, Pope converted at least $13,197 to his own use and benefit in order to pay for his personal expenses.
For the full FINRA findings, see FINRA Case #2013039013601.
According to his FINRA Broker Check, Pope was registered with Wilbanks Securities from 01/2011 – 11/2013, Allegiant Securities from 05/2009 – 12/2010, and AIG Sunamerica Capital Services from 02/2006 – 05/2007.
The foregoing information, which is all publicly available, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650.
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Tags: Jamie David Pope Last modified: July 17, 2015