June 30, 2015
A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and provided false testimony to FINRA staff in connection with an investigation.
He was barred in all capacities from associating with any FINRA member and ordered to pay hearing costs.
According to the decision White engaged in an undisclosed business activity though an entity named SMW Ventures, LP, a Texas limited partnership.
According to FINRA records, White was registered with Hornor, Townsend & Kent in Houston 9/2012-10/2013. Prior to that he was registered with AXA Advisors in the Woodlands, Texas, 12/2008-8/2011.
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