Don Pollard (CRD #: 2181631), a broker registered with Eastgate Securities, was suspended by FINRA, according to his BrokerCheck record, accessed on February 19, 2021.
On January 22, 2021, Don Pollard was fired from Curtis Point Capital.
Just four days earlier, on January 18, 2021 Pollard was fired from Dalmore Group.
Both termination disclosures referenced his FINRA suspension. On January 8, 2021, Don Pollard entered into an Acceptance, Waiver, and Consent agreement (AWC) with FINRA in which he consented to the findings that he violated FINRA rules when he backdated lists of outside business activities for himself and another employee of the firm. Although these outside businesses were approved by the firm, the dates provided to FINRA were allegedly incorrect. These dates allegedly made it seem as though the documents had been approved before the date of the FINRA request, which is inaccurate. As part of the terms of the AWC, Pollard consented to a two-month suspension and a $10,000 fine. You can read a copy of the AWC here.
According to Pollard’s detailed BrokerCheck report, Don Pollard has the following outside business activities:
- Interest/Everest Consulting Solutions
- Lakeridge Capital
- Wright Investors’ Service Distributors
If you have invested in any of these companies, we would like to speak with you. Please contact us at (877) 238-4175 or email firstname.lastname@example.org.
On July 30, 2020, an investor alleged that Pollard engaged in negligence.
On January 6, 2014, Don Pollard pled guilty to fourth degree criminal facilitation. “Criminal facilitation” means aiding someone who intends to commit a crime. He was also charged with maintaining false business records, although those charges were dismissed.
Don Pollard has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, Series 24 General Securities Principal Examination, Series 8 General Securities Sales Supervisor Examination (Options Module & General Module), and the Series 4 Registered Options Principal Examination. He is a registered broker in Connecticut, Illinois, New York, and Texas.
Don Pollard has registered with the following 28 firms:
- Eastgate Securities (CRD #: 146671)
- Lakeridge Capital (CRD #: 25005)
- BMI Capital International (CRD #: 154670)
- Wright Investors’ Service Distributors (CRD #: 13645)
- Curtis Point Capital (CRD #: 307399)
- Dalmore Group (CRD #: 136352)
- Capital Financial Services (CRD #: 8408)
- CBC Securities (CRD #: 46153)
- Richard James & Associates (CRD #: 169131)
- SW Financial (CRD #: 145012)
- Newport Coast Securities (CRD #: 16944)
- PHX Financial (CRD #: 144403)
- Legend Securities (CRD #: 44952)
- Tryco Securities (CRD #: 104025)
- Brookville Capital Partners (CRD #: 102380)
- New England Securities (CRD #: 615)
- MetLife Securities (CRD #: 14251)
- Global Arena Capital Corp (CRD #: 16871)
- Development Corporation for Israel (CRD #: 11148)
- CitiGroup Global Markets (CRD #: 7059)
- Oppenheimer & Co (CRD #: 249)
- E*Trade Professional Trading (CRD #: 39293)
- UBS Financial (CRD #: 8174)
- Quick & Reilly (CRD #: 11217)
- Waterhouse Securities (CRD #: 7870)
- Kensington Wells (CRD #: 30570)
- J Gregory & Company (CRD #: 14892)
If Don Pollard was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.