According to FINRA’s Disciplinary and Other FINRA Actions publication, Richard W. Ohrn (CRD No. 5106991) of Boca Raton, was barred by FINRA for allegations of theft from his elderly clients. FINRA’s findings alleged that Ohrn converted a total of $15,250 from two (2) of his elderly clients at Chase Investment Services Corporation. Allegations also stated the Ohrn forged or falsified the signatures of four (4) customers at Chase Investment Services Corporation, on nine (9) separate documents, and also changed the addresses of these clients so that their statements would be mailed to Ohrn’s firm or his firm’s bank. (See FINRA Disciplinary Proceeding No. 2012030987301)
According to FINRA’s Broker Check, Richard W. Ohrn has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Ohrn was registered in the securities industry for four (4) years, and was registered with the following firm(s):
WELLS FARGO ADVISORS, LLC
BOCA RATON, FL
06/2011 – 08/2012
CHASE INVESTMENT SERVICES CORP.
BOCA RATON, FL
07/2009 – 06/2011
USF SECURITIES, L.P.
PALM BEACH, FL
08/2006 – 12/2007
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