According to a recent FINRA announcement, Jeffrey Allan Mohlman (CRD #4431845, Dayton, Ohio) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Mohlman consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony FINRA requested during the course of an investigation into allegations that he engaged in unapproved and undisclosed private securities transactions.
For the full findings, see FINRA Case #2015044734401.
According to his FINRA Broker Check, Mohlman was registered with Investacorp from 06/2009 – 05/2011 and with Questar Capital from 06/2012 – 03/2015.
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