FINRA’s Department of Enforcement initiated an investigation into Gladtke’s alleged misconduct. Specifically, FINRA’s investigation concerned allegations Gladtke offered and sold multiple private placement securities in violation of FINRA rules and regulations. In connection with this investigation, FINRA sent Gladtke a request to provide on-the-record testimony pursuant to FINRA Rule 8210. According to FINRA, Gladtke acknowledged receipt of FINRA’s Rule 8210 requests; yet he failed to cooperate with FINRA’s investigation.
Based upon the foregoing alleged misconduct, FINRA asserted Gladtke violated FINRA Rules 2010 and 8210. Specifically, FINRA Rule 8210 authorizes FINRA, in the course of its investigation, 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...”
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 Gladtke while he worked for Arjent, 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.