Douglas Walter Campbell Jr. (CRD #2462754, New Canaan, Connecticut)
was fined $5,000 and it was deferred, and suspended by FINRA for 20 business days for allegedly engaging in unsuitable trading in a customer’s account by recommending purchases of speculative investments, which were not consistent with the customer’s investment objectives, resulting in an overconcentration in the customer’s account.
FINRA's findings stated that the concentrated position in the customer’s account was unsuitable in light of her financial profile, personal circumstances and limited ability to withstand financial losses. The customer’s account sustained losses of approximately $99,000.The suspension was in effect from October 6, 2014, through October 31, 2014. (FINRA Case #2012034600201)
Doug Campbell was registered in the securities industry for 18 years and was previously registered with the following securities firm(s):
07/2007 - 11/2012 WEDBUSH SECURITIES INC. (CRD# 877) - NEW CANAAN, CT
02/2007 - 07/2007 BROOKSTREET SECURITIES CORPORATION (CRD# 14667) - WATERMILL, NY
09/2004 - 01/2007 GREAT EASTERN SECURITIES, INC. (CRD# 2061) - SYOSSET, NY
09/2002 - 09/2004 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD# 6694) - ST. PETERSBURG, FL
09/1999 - 10/2002 JOSEPH GUNNAR & CO. LLC (CRD# 24795) - NEW YORK, NY
09/1998 - 09/1999 HD BROUS & CO., INC. (CRD# 22062) - GREAT NECK, NY
03/1994 - 08/1998 FIRST ASSET MANAGEMENT, INC. (CRD# 17341) - GARDEN CITY, NY
The above information from FINRA’s website under "Disciplinary and Other FINRA Actions, December 2014," ends here.
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