FINRA recently announced that Richard Albert Seefried, a financial advisor in Spokane, Washington currently registered with GVC Capital, LLC, has been suspended from association with any FINRA member in any capacity for three months.
The suspension is effective from April 19, 2010 through July 18, 2010. Without admitting or denying the allegations, Seefried consented to the described sanction and to the entry of findings that he exercised discretion in a customer’s account without the customer’s prior written authorization or his member firm’s acceptance of the account as discretionary.
According to his FINRA Broker Report (CRD), prior to working at GVC Capital, Richard Albert Seefried was a registered representative with Paulson Investment Company, a FINRA registered broker-dealer based in Spokane, Washington, J.P. Turner & Co., a FINRA registered broker-dealer based in Atlanta, Georgia, and Schneider Securities, Inc., a FINRA registered broker-dealer based in Denver, Colorado.
If you have questions regarding investments you made with Richard Seefried, 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 reviewing securities fraud claims and handles matters throughout the country and Washington, including reviewing securities fraud cases in Spokane, Seattle, Tacoma, Yakima, Everett, Bellevue, and Olympia. 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: Atlanta, Bellevue, broker fraud, CRD, Denver, Everett, Financial Advisor, FINRA, GVC Capital, investment losses, investor protection, J.P. Turner, NASD, Olympia, Paulson Investment, Richard Seefried, Schneider Securities, Seattle, SEC, securities arbitration, Securities Attorney, securities law, securities law firm, Securities Lawyer, Spokane, stockbroker, Tacoma, Washington, Yakima Last modified: December 6, 2022