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Articles Tagged with Outside Business Activities

Mark Lamkin (CRD#: 2121510), a registered representative with Calton & Associates, Inc., (CRD#: 20999) in Louisville, Kentucky, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 15, 2020. What happened to lead to Mark Lamkin’s suspension? Read on to learn more.  On March 30, 2020, Mark […]

Ken Hutkin (CRD#: 1344519), a registered representative with Wedbush Securities Inc. (CRD#: 877) in New York, New York, is currently involved in a pending customer dispute over unsuitable investments. This comes seventeen months after he was terminated from Morgan Stanley Wealth Management for engaging in outside business activities, according to his BrokerCheck record accessed on […]

Pratul Agnihotri (CRD#: 4031797), a registered representative with SW Financial in Melville, New York, is currently under investigation by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on December 19, 2019. What’s going on? On October 18, 2019, FINRA “made a preliminary determination to recommend that disciplinary action be brought against” […]

Eric Savell (CRD#: 4182368), formerly a registered representative with LPL Financial, has been suspended by FINRA for failing to disclose outside business activities. According to his BrokerCheck record accessed on August 27, 2019, Eric Savell entered into an Acceptance, Waiver, and Consent (AWC) with FINRA on August 5, 2019. According to the complaint, “… Savell […]

Robert Henderson Jr. (CRD#: 1160413), CEO of Henderson Group in Miami Lakes, Florida and a 34-year veteran of the securities industry, has been the subject of multiple customer disputes and has multiple judgments/liens against him. He is currently registered with IFS Securities (CRD#: 40375). On July 8, 2019, FINRA, the Financial Industry Regulatory Authority, launched […]

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