Securities Arbitration Lawyers BlogLas Vegas Broker Frank R. Underhill Under Jr Investigation After FINRA Permanently Bars Him
Silver Law Group is investigating former Las Vegas, Nevada broker Frank R. Underhill Jr. (CRD# 4970331) after FINRA permanently barred him.
According to Underhill’s FINRA BrokerCheck report, Underhill who owned and operated his own brokerage firm, Underhill Securities Corp. (CRD# 148001), FINRA permanently barred Underhill from acting as a broker or otherwise associating with firms that sell securities to the public.
Underhill failed to respond to a FINRA request for information, according to his BrokerCheck report, which was the cause of his permanent bar.