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Charles Oscar Boneck, Jr. Barred by FINRA for Unauthorized Transactions

The Financial Industry Regulatory Authority (FINRA) has barred California registered representative Charles Oscar Boneck, Jr. from association with any member firm after Boneck engaged in multiple transactions without authorization from clients.

Formerly associated with First Republic Securities Company, LLC and Alamo Capital, Boneck engaged in multiple instances of severe violative conduct, including firm misrepresentation, unethically borrowing from a customer, providing false information to FINRA and exercising discretion without customer authorization, resulting in 65 securities purchases and sales being completed without investor approval or knowledge.

By intentionally providing false information to customers/investors, his firm and FINRA itself, Boneck was found to have put his customer's finances in serious jeopardy, violated several key statutes of FINRA's By-Laws and necessitated his banishment from the industry.FINRA Case #2010022556901

If you believe a firm or broker has engaged in unauthorized trading of your account or securites, please call The Law Offices of Jonathan W. Evans & Associates at 818-760-9880.

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