March 11, 2015, Seabrook, Texas
Royce O. Simpson, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written notice to his member firm of his outside business activity regarding a gold mining entity in Ghana, Africa, in violation of FINRA rules.
Simpson was assessed a fine of $15,000 and suspended from association with any FINRA member for eight months.
FINRA Case # 2013039492903
According to FINRA records, Simpson was last registered with with Oppenheimer & Co. and prior to that with UBS Financial Services.
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