In a recent FINRA case (#2011029315301), Andrew Lewis Pittman, a broker from Deerfield Beach, Florida entered into an Acceptance Waiver and Consent with the Financial Industry Regulatory Authority, and agreed to a bar from the industry.
According the FINRA document, during the course of an ongoing FINRA investigation regarding allegations that Pittman had improperly used a customer's funds and was appointed Power of Attorney for the customer, Pittman refused to provide on-the-record testimony as required by FINRA rules.
The FINRA document indicates that Pittman was employed by Sammons Securities most recently. He previously worked for Questar Capital from August 2011 until October 2011, when Questar terminated him. Prior to his short stay at Questar, Pittman worked for Allstate Financial from June 2007 through August 2011.
If you have questions about the way your brokerage account has been handled, call Rex Securities Law for a no charge consultation.
561 391 1900
Disclosure: I have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.