Tag Archives: James Larkin Powers

du Pasquier Stockbroker Barred For Fraudulent Scheme

November 20, 2017  |   Posted by :   |   FINRA Securities Arbitration   |   0 Comments

James Larkin Powers, of New York, New York, a stockbroker formerly registered with du Pasquier & Co., Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Extended Hearing Panel Decision containing findings that he participated in a fraudulent trading scheme, placed transactions in […]

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Du Pasquier Stockbroker Charged With Fraud

James Larkin Powers of Atlanta, Georgia, a stockbroker formerly registered with du Pasquier & Co., Inc., has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging, inter alia, that Powers converted customer funds. Department of Enforcement v. Powers, No. 2014041985401 (Nov. 15, 2016). According to the Complaint, Power was provided […]

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