The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Dallas York. According to his publicly available FINRA BrokerCheck report, Dallas York has been the subject of a FINRA sanction.
Dallas York was an Arizona based securities broker. He worked in the securities industry for two years. He spent his entire career registered with Wells Fargo Clearing Services. He is no longer working as a registered securities broker in any fashion.
The Allegations
Dallas York was officially sanctioned by FINRA in March 2018. The findings in this matter state that he allegedly withdrew funds from a customer’s bank account without the customer’s knowledge or consent. He had been terminated from Wells Fargo Clearing Services five months prior when the allegations first came to light. After an alleged failure on York’s part to comply with FINRA’s investigation into the matter, he was barred by FINRA from acting as a securities broker in any fashion.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Dallas York, please contact Oakes & Fosher for a free and private consultation.
