The following summation of information is from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group at (888) 760-6552.
Jeremy Gerald Tintle (CRD #2817173, Hawley, Pennsylvania)
was barred by FINRA for allegedly participating in private securities transactions without providing his firm with prior written notice of the proposed transactions. Tintle falsely represented that he had not participated in private securities transactions away from his firm without their prior approval.
FINRA's findings stated Tintle allegedly recommended to his client to invest in a limited partnership. This investment was not suitable, due to its speculative and illiquid nature and was too risky for the client.
FINRA also found that at two firms, Tintle allegedly misapplied his client funds by having clients withdraw funds from their brokerage accounts, and wire those funds to third parties. Instead of applying the to the purchase of securities, these funds were retained by the transferees.
(FINRA Case #2010024623501)
Jeremy Gerald Tintle was previously registered with the following FINRA firm(s):
OPPENHEIMER & CO. INC. (CRD# 249) - ATLANTA, GA
09/2008 - 06/2011
MORGAN KEEGAN & COMPANY, INC. (CRD# 4161) - ATLANTA, GA
11/2006 - 10/2008
CITIGROUP GLOBAL MARKETS INC. (CRD# 7059) - ATLANTA, GA
02/2001 - 11/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - NEW YORK, NY
09/1999 - 02/2001
DEAN WITTER REYNOLDS INC. (CRD# 7556) - PURCHASE, NY
04/1998 - 11/1999
RYAN, BECK & CO. (CRD# 3248) - FLORHAM PARK, NJ
12/1997 - 03/1998
WORTHINGTON CAPITAL GROUP, INC. (CRD# 28595) - GARDEN CITY, NY
09/1997 - 12/1997
DUKE & CO., INC. (CRD# 8035) - NEW YORK, NY
07/1997 - 09/1997
This information was available on FINRA's website.
If you have sustained investment losses due to your stock broker or financial advisor’s recommendations in private securities, or other illiquid, complex products, call for a free consultation on how to potentially recover your losses. To speak with an attorney call Soreide Law Group at 888-760-6552.
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