Don Pollard – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Don Pollard is a licensed financial advisor/broker with Eastgate Securities LLC. Don Pollard was previously licensed with Lakeridge Capital Inc and SW Financial.
According to FINRA, Don Pollard was suspended from the securities industry for two months in February 2021.
According to FINRA Allegations:
Pollard consented to the sanctions and to the entry of findings that he created backdated documents which he then submitted to FINRA. The findings stated that in connection with a routine examination of the firm, FINRA requested that the firm provide lists of the OBAs of the firm’s registered persons, and, if available, documents showing the firm’s approval of those OBAs. Pollard created documents containing lists of OBAs for two persons registered through the firm and received a list of OBAs from a third person registered through the firm. The third person’s list had been backdated, and Pollard then backdated the two OBA lists he drafted. Pollard then submitted these backdated documents to FINRA. In response to a request from FINRA for evidence of supervisory review and approval of the OBA lists, Pollard, who was a principal of the firm at the time, initialed two of the three lists. Pollard asked another registered principal of the firm to sign Pollard’s OBA list, and that other registered person also backdated his signature. Pollard then submitted these backdated documents to FINRA. Although the firm had approved the representatives’ OBAs, the backdated documents that Pollard produced to FINRA purported to show that the firm had approved them in writing and had maintained the three OBA lists prior to FINRA’s request, when, in fact, that was not the case.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Don Pollard and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Don Pollard’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Don Pollard and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 10/8/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.