Former securities representative suspended and fined for allegedly failing to disclose felony charges on Form U4
FINRA By-Laws, Article V, Section 2 FINRA Rule 1122 FINRA Rule 2010
Former securities representative suspended and fined for allegedly exercising discretionary authority without authorization
The affected customers understood that the trading was taking place, but had not provided prior written authorization for the exercise of discretion by the representative.
In addition at least 150 solicited trades were mismarked as unsolicited resulting in inaccurate recordkeeping by the firm.
FINRA Rule 2010 FINRA Rule 4511
Former securities representative suspended and fined for allegedly backdating supervisory review documents
FINRA Rule 2010 FINRA Rule 8210
Former securities representative barred for refusing to appear for on-the-record testimony
FINRA Rule 2010 FINRA Rule 8210
Former associate suspended and barred for allegedly cheating during an exam
During three unscheduled breaks the associate had access to her personal notes and study materials.
FINRA Rule 1210.05 FINRA Rule 2010
Former securities representative charged with allegedly making misrepresentations to investors
The representative also concealed his relationship with the company that he was recommending as an investment opportunity both from the investors as well as from his firm.
He also failed to notify his firm of the fact that he was participating in private securities transactions and provided false information to FINRA about the investment advice and the extent of his involvement with the company in question.
Note that this is a complaint and not an AWC.
FINRA Rule 2010 FINRA Rule 3270 FINRA Rule 3280 FINRA Rule 8210
Former securities representative barred for allegedly refusing to provide documents and information
FINRA Rule 2010 FINRA Rule 8210
| Unless otherwise noted all respondents accepted and consented to FINRA’s findings without admitting or denying them. |
