Investor Update: FINRA Arbitration Claims Against Frederick Monroe

According to the Financial Industry Regulatory Authority (FINRA), Frederick Monroe has been permanently barred from acting as a broker. Monroe was registered with New York-based Voya brokerage services. In February 2016, Monroe pled guilty to charges, among others, that he engaged in money laundering and “engaged in a scheme to defraud at least 20 people from 2002 until May 2015.” He was also accused of misappropriating funds, among other things. Monroe was registered with Robert W. Baird in Milwaukee, Wisconsin from July 1994 until January 2002, Northwestern Mutual Investment Services in Latham, New York from July 1994 until February 2006 and Voya Financial Advisors in Albany, New York from February 2006 until June 2015. He has 15 customer disputes against him, one of which is currently pending. He has one criminal disposition against him. He is not licensed and has been permanently barred from the industry. Anyone who may believe he or she has a claim against Monroe is encouraged to call our law offices today. The call is free.

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