Former securities representative barred for refusing to produce documents and information

FINRA Rule 8210 

Former financial analyst barred for failing to produce documents and information

FINRA Rule 2010
FINRA Rule 8210

Former securities representative fined and suspended for improperly removing personal customer information from his employer

Nonpublic personal information of over 200 customers was downloaded from his former firm without its consent or the consent of the customers in question and was used to help attempt moving those customers to the representative’s new employer.

FINRA Rule 2010

Securities representative fined and suspended for failing to respond in a timely fashion to FINRA’s requests for documents and information

FINRA Rule 2010

Securities representative fined and suspended for Reg BI violations

Inverse exchange-traded funds were recommended to retail customers despite the representative not having an adequate understanding of their features and risks. Because retail customers suffered losses as a result of the recommendations a restitution order of $26,422 plus interest has also been imposed by FINRA.

Reg BI 
FINRA Rule 2111
FINRA Rule 2010

Former securities representative charged for allegedly failing to provide documents and testify

(This is a complaint and not an AWC)

FINRA Rule 2010 
FINRA Rule 8210