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Written by 7:30 pm Blog, Securities Fraud Articles

Robert Hawkes Potter barred from securities industry

According to a recent FINRA announcement, Robert Hawkes Potter (CRD #1198202, Farmington, Utah) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Potter consented to the sanction and to the entry of findings that he failed to provide documents and information FINRA requested during the course of its investigation into allegations that he comingled customer funds with his personal funds. (FINRA Case #2014041579901)

According to his FINRA Broker Check, Potter was registered with Cambria Capital from 08/2011 – 08/2015.

The foregoing information has been 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 312/238-9760.

For more information on the firm and its representation of investors, visit https://whitesecuritieslaw.com.

Tags: Last modified: December 15, 2015