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Name
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Residence
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What
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Why
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Date
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Quigley, Edwards Matthews (III)
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Fort Lauderdale, Florida
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Barred
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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.
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February 2005
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Quinn, Kevin
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New York
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Barred
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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.
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February, 2007
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Quinn, Robert James
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Freeland, Pennsylvania
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Barred
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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.
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March 2005
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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
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