September 30, 2009Ms. Elizabeth MuldoonFINRA55 West Monroe StreetSuite 2600Chicago, IL 60603
Via Electronic Mail
Re: FINRA 08-04793
Dear Ms. Muldoon:I received the attached email earlier today from the lawyer for John Dwight Wanken, oneof the respondents in the above-referenced pending FINRA arbitration.I am concerned about its contents, its apparent threat and the possibility that Mr. Simpsonspeaks for others than himself, including counsel for Raymond James Financial Services,Inc. – the other respondent in this claim – as well as FINRA.As you know, Mr. Simpson also serves as a FINRA arbitrator in addition to representingclients before FINRA. It appears that he is speaking for FINRA in this communicationwhen he states the following:
“We believe that your critical statements concerning FINRA, the process andthe persons involved in our dispute are clearly improper and that they areonly harming your interest.”
First of all, Mr. Simpson is not tasked with looking out for my interest. He representsJohn Dwight Wanken, my former business partner, and has done so for more than 18months as this case has moved through litigation and now into arbitration. He isdefending my former business partner’s actions, which are listed in the Statement of Claim and have been enumerated throughout this process, including but not limited tofalse termination of my license, falsification and defamation of my FINRA U-5, breachof contract and split agreement and libel, slander and defamation.Secondly, I am exercising my first amendment right of freedom of speech through thisprocess and will continue to do so. It sounds as though Mr. Simpson would prefer thatthis case were being held in a country where we don’t enjoy such freedoms and liberties.He seems intent on preventing me from speaking about my experiences over the last twoyears, including my experiences with his client, my former business partner, and FINRA.It further seems as though Mr. Simpson may be threatened by me sharing theseexperiences and wants to do everything in his power to silence the truth, including filingmotions that would further restrict my freedom of speech.
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My Response to FINRA Regarding N. Henry Simpson, Counsel for John Dwight Wanken (Dwight Wanken) of Beacon Financial Advisors, a Branch Office of Raymond James Financial Services and his Letter in which he appeared to speak FOR FINRA regarding this case against John Dwight Wanken and Raymond James Financial Services
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