FINRA’s Department of Enforcement initiated an investigation into Bosch’s alleged misconduct. Specifically, FINRA investigated whether Bosch converted customer funds and generated false account statements to conceal his misconduct. In connection with this investigation, FINRA sent Bosch a request to provide documents and information pursuant to FINRA Rule 8210. According to FINRA, Bosch failed to cooperate with the investigation.
Based upon the foregoing alleged misconduct, FINRA asserted Bosch violated FINRA Rules 2010 and 8210. Specifically, FINRA Rule 8210 authorizes FINRA, in the course of its investigations, to require persons associated with a FINRA member to “provide information orally, in writing, or electronically . . . with respect to any matter involved in the investigation...” Here, Bosch failed to provide information in response to FINRA’s request, thereby violating FINRA Rule 8210.
Lufrano Law, LLC is a national securities litigation firm and has experience representing investors who have investment disputes with brokers and broker-dealers. If you suffered investment damages with Bosch while employed by LPL, you may be able to recover your losses through FINRA arbitration. Our firm only receives a fee if you recover money. Please contact one of our attorneys at (800) 627-2179 to schedule a free consultation or complete our free case evaluator.