Former securities representative barred for allegedly refusing to provide information and documents
FINRA Rule 2010 FINRA Rule 8210
Former securities representative suspended and fined for alleged outside business activity without notice to or authorization from his firm
FINRA Rule 2010 FINRA Rule 3270
Securities representative suspended and fined for allegedly mismarking solicited order tickets as unsolicited
FINRA Rule 2010 FINRA Rule 4511
Former securities representative suspended and fined for alleged retail communication content standards shortcomings
Between May 2019 and February 2022 the representative sent numerous emails and LinkedIn messages to potential investors in connection with private placements.
The messages contained misleading, unwarranted, and/or promissory statements. The communications did not explain the risks associated with the offerings and so failed to provide a fair and balanced representation of the investments.
In addition the communications were sent without obtaining approval from the principal of the firm.
FINRA Rule 2010 FINRA Rule 2210
Former non-registered fingerprint person barred for refusing to appear for on-the-record testimony
FINRA Rule 2010 FINRA Rule 8210
Products principal suspended and fined for allegedly falsely certifying that he had personally completed the continuing education required to hold an insurance license
Another person had completed 15 hours of insurance continuing education on his behalf.
FINRA Rule 2010
Products representative suspended and fined for allegedly falsely certifying that he had personally completed the continuing education required to hold an insurance license
Another person had completed 15 hours of insurance continuing education on his behalf.
FINRA Rule 2010
Products representative suspended and fined for allegedly falsely certifying that he had personally completed the continuing education required to hold an insurance license
Another person had completed 15 hours of insurance continuing education on his behalf.
FINRA Rule 2010
Former securities representative barred for allegedly refusing to provide information and documents
FINRA Rule 2010 FINRA Rule 8210
| Unless otherwise noted all respondents accepted and consented to FINRA’s findings without admitting or denying them. |