Mark Brian Quimby, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to invest in an investment fund operated by his wife but not offered by his member firm.
According to FINRA Quiby did not get the approval of his member firm nor did he provide written notice to his firm in violation of NASD Rule 3040 and FINRA Rule 2010.
Quimby was suspended for three months and assessed a deferred fine of $10,000. According to FINRA records, Quimby was registered with Allstate Financial Services in Tampa, FL , from 2/2008-6/2014.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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