{"id":2967,"date":"2015-08-19T00:00:00","date_gmt":"2015-08-19T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/douglas-william-finlay-jr-suspended-and-fined-by-finra\/"},"modified":"2018-10-08T12:41:48","modified_gmt":"2018-10-08T16:41:48","slug":"douglas-william-finlay-jr-suspended-and-fined-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/douglas-william-finlay-jr-suspended-and-fined-by-finra\/","title":{"rendered":"Douglas William Finlay Jr. Suspended and Fined by FINRA"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Douglas-William-Finlay-Jr.-Suspended-and-Fined-by-FINRA.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1720\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Douglas-William-Finlay-Jr.-Suspended-and-Fined-by-FINRA-1024x662.jpg\" alt=\"Douglas William Finlay Jr. Suspended and Fined by FINRA on silverlaw.com\" width=\"1024\" height=\"662\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Douglas-William-Finlay-Jr.-Suspended-and-Fined-by-FINRA-1024x662.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Douglas-William-Finlay-Jr.-Suspended-and-Fined-by-FINRA-300x194.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>Allegations include falsifying documents<\/h2>\n<\/p>\n<p>Douglas William Finlay Jr. is facing an 18-month suspension and fine of more than $15,000 to be paid later, <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2984422\"  target=\"_blank\">according to FINRA<\/a>.<\/p>\n<p>According to the disciplinary action documents, Finlay allegedly falsified a customer\u2019s forms by claiming her net worth was more than $1.3 million, when in fact it was about $135,000. On the same form, he allegedly claimed the customer\u2019s income was $150,000 when it was actually $70,000. These alleged falsifications resulted in the firm having inaccurate forms and led to another allegation of recommending an unsuitable transaction.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/douglas-william-finlay-jr-suspended-and-fined-by-finra\/\"  title=\"Continue Reading Douglas William Finlay Jr. Suspended and Fined by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Allegations include falsifying documents Douglas William Finlay Jr. is facing an 18-month suspension and fine of more than $15,000 to be paid later, according to FINRA. According to the disciplinary action documents, Finlay allegedly falsified a customer\u2019s forms by claiming her net worth was more than $1.3 million, when in fact it was about $135,000. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[602,582],"tags":[494],"class_list":["post-2967","post","type-post","status-publish","format-standard","hentry","category-class-action","category-elder-fraud","tag-suspended-and-fined-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Douglas William Finlay Jr. Suspended and Fined by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 19, 2015<\/title>\n<meta name=\"description\" content=\"Read the full article on Douglas William Finlay Jr. Suspended and Fined by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/douglas-william-finlay-jr-suspended-and-fined-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Douglas William Finlay Jr. Suspended and Fined by FINRA &#8212; 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