|
|
|
|
A
|
B
|
C
|
D
|
E
|
F
|
G
|
H
|
I
|
J
|
K
|
L
|
M
|
N
|
O
|
P
|
Q
|
R
|
S
|
T
|
U
|
V
|
W
|
X
|
Y
|
Z
|
Name
|
Residence
|
What
|
Why
|
Date
|
|
Quigley, Edwards Matthews (III)
|
Fort Lauderdale, Florida
|
Barred
|
He misrepresented in written correspondence to a public customer that his initial investment in variable annuities was guaranteed against loss by Quigley's member firm and the variable annuity companies. The findings also stated that Quigley failed to follow a public customer's order to liquate securities to avoid losses; effected unauthorized trades in the customer's account; and executed a personal note for the customer that settled losses already incurred in the account and guaranteed against future losses in the customer's account without providing notice to his member firm.
|
February 2005
|
|
Quinn, Andrew William
|
Redlands, CA
|
Barred
|
Quinn sent correspondence on his member firm's letterhead
that contained misleading and unwarranted statements concerning a potential investment. The findings stated that Quinn ignored red flags of possible fraud and failed to submit the letters for required supervisory approval, which exposed the firm to potential liability.
|
July 2009
|
|
Quinn, Joseph Ryan
|
Watertown, SD
|
Barred
|
Quinn engaged in an outside business activity, received $5,149.26 in compensation for his role, and did not provide prompt written notice to his member firm. The findings stated that Quinn failed to appear for a FINRA on-the-record
interview. (FINRA Case #2007009718802)
|
September 2009
|
|
Quinn, Kevin
|
New York
|
Barred
|
Quinn is permanently barred due to his involvement with Jefferies & Company's 1.6 million in improper gifts and entertainment to equity traders employed by FMR Co., Inc., an investment advisor to the Fidelity family of mutual funds, between Sept. 3, 2002, and Oct. 11, 2004. The improper gifts to those Fidelity traders exceeded $600,000 and included private chartered air travel, non-promotional sports-related merchandise and expensive bottles of wine. The impermissible entertainment totaled more than $1 million and included lavish trips, private chartered flights, expensive hotel accommodations, weekend golf outings and tickets to the 2004 Super Bowl.
|
February, 2007
|
|
Quinn, Robert James
|
Freeland, Pennsylvania
|
Barred
|
He forged a public customer's signature on a form requesting a partial withdrawal of funds from the customer's variable annuity without the customer's knowledge or consent.
|
March 2005
|
|
Sponsored by James J. Eccleston. This Web site contains material of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment adviser when building and protecting your wealth.
All content Copyright © 2010 Advocate Compliance Partners, Inc. except where noted. All rights reserved.
20 North Wacker Drive, Suite 2900, Chicago, Illinois 60606
Telephone: 312-621-4400 | Fax: 312-621-0268
|
|
|
|
|
|
