The FINRA records of Steven Ray Hinkle, a stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA Case 2014038969301, Hinkle consented to sanctions and the entry of findings that he failed to establish, maintain, and enforce an adequate supervisory system to review trades for excessive and unsuitable trading. The findings state that he failed to reasonably supervise a broker despite being aware of several red flags that should have resulted in enhanced scrutiny and supervision of the broker, exposing customers to losses due to excessive trading or other sales practice violations. Hinkle was suspended for 20 days and fined $10,000.
Hinkle has been registered with since 1/2016. Prior to that he was registered with Dynasty Capital Partners in Greenwood Village, CO. from 1/2003-7/2015.
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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