The following is a summation of information available on FINRA's Website under “Disciplinary and Other FINRA Actions, April, 2014.”
Christopher David Mackey (CRD #5836017, Registered Representative, Grayson, Georgia)
was fined $5,000 and suspended by FINRA for 18 months. According to FINRA's report Mackey allegedly effected or caused to be effected, transactions in his clients' accounts without the clients’ knowledge, consent or authorization.
FINRA added that these unauthorized transactions included purchases of equity securities, investment company securities and certificate of deposits totaling $59,745.77, and sales of equity and investment company securities totaling $13,110.78.
The suspension is in effect from March 3, 2014, through September 2, 2015.
(FINRA Case #2012032324701)
According to FINRA's BrokerCheck, Christopher David Mackey was previously registered with the following FINRA firm(s):
INVESTACORP, INC. (CRD# 7684) - ALPHARETTA, GA
05/2012 - 08/2013
EDWARD JONES (CRD# 250) - SNELLVILLE, GA
07/2011 - 04/2012
This ends the information from FINRA.
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