Ronald Dolinger, of Dublin, Ohio, a stockbroker formerly registered with MetLife Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to testify in a FINRA investigation into allegations of his outside business activities. Letter of Acceptance, Waiver and Consent, No. 2015048209602 (Oct. 2, 2017).
According to the AWC, on December 11, 2015, Dolinger notified FINRA staff that it fired Dolinger on November 24, 2015, based upon accusations of his business activities having violated the policy of the firm. FINRA then launched an investigation into the allegations that the firm identified, where on August 11, 2017, FINRA asked Dollinger to make an appearance before FINRA staff and provide recorded testimony.
The AWC revealed that Dolinger was due to testify about his business activities before FINRA staff on September 1, 2017; however, he notified FINRA on August 23, 2017, that he would not be making an appearance to testify. FINRA noted that Dolinger refused to testify or otherwise cooperate; conduct violative of FINRA Rules 2010 and 8210.
FINRA Public Disclosure reveals that on June 1, 2006, a customer filed an investment related written complaint involving Dolinger’s conduct, in which the customer requested $6,508.56 in damages supported by accusations that Dolinger made misrepresentations to the customer concerning a life insurance policy.
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