An AWC was issued in which Caz Craffy (CRD #5222223) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Craffy consented to the sanction and to the entry of findings that he refused to produce information and documents and refused to appear for on-the-record testimony requested by FINRA during the course of an investigation that originated from a customer complaint made to it.
The findings stated that FINRA sought to investigate, among other issues, Caz Craffy’s potential conversion of customer money, loans or gifts from customers, active trading in customer accounts, and failure to fully disclose certain OBAs.
(FINRA Case #2022076459301)
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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