TAG | Sean K Hannon
Comments off · Posted by Securities Lawyer in FINRA
Sean K. Hannon (CRD #4296260, Registered Representative, Cary, North Carolina)
has submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity.
Hannan, without admitting or denying FINRA’s allegations, consented to the described sanction and to the entry of findings that he failed to provide investigative testimony regarding allegations of misconduct asserted against him in two arbitrations filed against him.
(FINRA Case #2010022695501 )
This information was found on FINRA’s website under “Disciplinary and Other Actions, June, 2012.
Sean K. Hannan is listed as a “financial advisor for EPIC Advisors LLC.”
Soreide Law Group, PLLC, has represented clients before FINRA nationwide. If you or a family member have sustained investment losses because of your stock broker/dealer, or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: http://www.securitieslawyer.com.
Broker failure to respond to FINRA requsest for information · brokerage supervisory deficiencies · EPIC advisors LLC · EPIC Sean Hannon · failure to provide investigative testimony to FINRA · failure to provide testimony to FINRA · failure to supervise brokers · Financial Industry Regulatory Authority · FINRA · FINRA arbitration · FINRA brokercheck · finra lawyer · Ft. Lauderdale Securities Lawyer · inadequate supervisory procedures by broker/dealers · Lars K. Soreide · Sean Hannon barred by FINRA · Sean Hannon Cary NC · Sean K Hannon · securities arbitraton lawyer · Stock fraud lawyer · stock loss · stockbroker misconduct