Daryl Richard Lemon (CRD #2473133, Los Angeles, California)
was barred by FINRA for allegedly executing 1,236 transactions in an elderly client’s discount brokerage account maintained at another broker-dealer without providing prior written notice, or any notice at all, to his member firm.
FINRA's findings stated that Lemon periodically charged the customer amounts that he characterized as advisory fees.
(FINRA Case #2013036632201)
FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
Daryl Richard Lemon was registered in the securities industry for 15 years and was previously registered with the following securities firm(s):
10/2005 - 07/2013 SAGEPOINT FINANCIAL, INC. (CRD# 133763) - CULVER CITY, CA
09/2005 - 10/2005 SUNAMERICA SECURITIES, INC. (CRD# 20068) - PHOENIX, AZ
03/2002 - 10/2005 SYNERGY INVESTMENT GROUP, LLC (CRD# 46035) - CHARLOTTE, NC
05/1995 - 01/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
This ends the information summarized from FINRA's February 2015 Disciplinary report.
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