February 13, 2015-New York
B. Chapman Syme entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that failed to timely disclose that he was charged with felony offenses and with a misdemeanor offense involving wrongful taking of property on FINRA regulatory Form U4. In addition Syme failed to disclose that he was engaging in two outside business activities.
Syme was suspended for eight months and fined $10,000.
Syme is not currently registered. He was previously registered with Greenhill & Co. from 4/2013-7/2013 and prior to that Credit Suisse First Boston from 8/2002-6/2005.
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.
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