July 21, 2022 – An AWC was issued in which Adam Thomas Marquardt (CRD #5307192) was barred from association with any FINRA member in all capacities. Marquardt consented to the sanction without admitting to or denying FINRA's findings. He also consented to the entry of findings for which he refused to provide on-the-record testimony requested by FINRA in connection to an investigation into allegations in a Form U5 filed by his member firm. The form stated that at the time of Marquardt's resignation, he was under internal review for allegations that he deposited cashier's checks into client accounts in part to cover certain clients' investment losses without knowledge or authorization by the firm. (FINRA Case #2020067667201)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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