Securities Regulation Keyed to Coffee
Hollinger v. Titan Capital Corp.
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Painter Financial Group was formed to counsel investors and sell insurance. Painter rented space to Wilkowski while operating as an agent of Painter. To register as securities salesmen with a broker-dealer firm, Titan Capital Corp., Wilkowski and other representatives applied to the National Association of Securities Dealers (NASD). On Wilkowski’s registration application, he stated that he never intentionally made an untrue statement, was never included in a major legal proceeding and never pled guilty to or was convicted of a felony. NASD granted Wilkowski registration, although a print check through the FBI showed that Wilkowski did indeed plead guilty to three counts of felony forgery at a previous date. The NASD provided this information to Titan, requiring a letter from Wilkowski explaining himself. Wilkowski replied saying that he thought the conviction was removed from his record in accordance with his plea agreement and presentedd a new application admitting the forgery conviction. Painter removed him from his financial advisor position, even though neither NASD nor Titan revoked his registration. When Wilkowski was employed by Titan, he had clients make checks payable directly to him and offered fabricated statements on Titan stationery. Wilkowski was then found guilty of criminal securities fraud and grand theft. Investorvictims of Wilkowskiwere seeking to recover losses founded on the antifraud stipulations of federal and state securities laws. The district court gave summary judgment in favor of Painter and Titan on federal claims while dismissing the state claims. The investors appealed.
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