TAG | Alvin Waino Gebhart Jr
Alvin Waino Gebhart Jr. (CRD #1005905, Registered Principal, Fallbrook, California) and Donna Traina Gebhart (CRD #2708528, Registered Principal, Fallbrook, California).
On the FINRA website, it was reported that Alvin Gebhart was barred from association with any FINRA member in any capacity. Donna Gebhart was fined $15,000, suspended from association with any FINRA member in any capacity for one year, and must requalify by exam in all capacities. The Supreme Court of the United States denied a petition following the United States Court of Appeals for the Ninth Circuit’s denial of petition for review. The SEC had previously sustained the NAC decision.
The sanctions were based on findings that Alvin and Donna Gebhart engaged in private securities transactions without prior written notification to, or prior approval from, their member firm. The findings stated that Alvin and Donna Gebhart sold unregistered securities that were not exempt from registration, and recklessly made material misrepresentations and omissions in connection with the sale of securities.
Donna Gebhart’s suspension is in effect from June 7, 2010, through June 6, 2011. (FINRA Case #C0220020057)
If you have become a victim of the alleged fraudulent schemes of Alvin Waino Gebhart, Jr., or Donna Taina Gebhart, call a Securities Arbitration Lawyer for a free consultation on how you could potentially recover you losses. To speak with an attorney, call 888-760-6552, or visit www.stockmarketlawsuit.com. Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
Alvin Gebhart · Alvin Waino Gebhart Jr · broker selling unregistered securities · Donna Gebhart · Donna Taina Gebhart · elder abuse in investments · Financial Industry Regulatory Authority · FINRA · finra lawyer · finra securities arbitration · finra securities arbitration lawyer · fort lauderdale securities fraud lawyer · fort lauderdale securities lawyer · fraud by broker selling securities · Ft. Lauderdale Securities Lawyer · Gebhart · investment fraud · no approval from customer by broker · private securities transaction · private securities transactions without written notification · securities arbitration · securities arbitraton lawyer · securities fraud · securities fraud lawyer · Soreide Law Group PLLC · stock broker fraud · Stock fraud lawyer · stock loss · stockbroker misconduct · targeting elderly investors · unauthorized trades · unregistered securities · unregistered security