The Florida-based law firm, Soreide Law Group, obtained the following information on FINRA’s website from the October 2017, Disciplinary Report on Florida broker:
Gabriel Williams Hynes (CRD #3152541, St. Augustine, Florida)
Hynes was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for three months for allegedly purchasing securities issued by privately held companies costing a total of $90,000.
FINRA’s findings stated that these transactions were outside the regular course and scope of his employment with his member firm. As a result, Hynes was required to provide written notice to the firm before participating in them, but he failed to provide the firm with any notice.
Also, FINRA stated that in January 2014, Hynes opened an account at another member firm and maintained the account throughout his association with his firm. Hynes deposited into the account the securities he had purchased through the private offerings conducted away from his firm. Hynes failed to notify the other member firm that he was associated with his firm, and failed to notify his firm that he had opened an account at another member firm.
The suspension is in effect from August 21, 2017, through November 20, 2017.
(FINRA Case #2016051410501)
Gabriel Williams Hynes, according to FINRA’s BrokerCheck, has 4 Disclosures on his report, has been in the securities industry for 18 years with 2 firms, the most recent listed below:
01/18/2001 - 06/20/2017 NYLIFE SECURITIES LLC - ST AUGUSTINE, FL
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Hynes was permitted to resign after NYLIFE SECURITIES LLC became aware he allegedly violated company policy by failing to disclose: (a) multiple outside business activities and private securities transactions; (b) a brokerage account with an outside broker-dealer; (c) a federal tax lien.
If you were a client of former NYLife Securities of St. Augustine, Florida, broker, Gabriel Williams Hynes, and experienced investment losses due to his actions or recommendations, call Soreide Law Group based in Florida for a no-cost consultation with a lawyer regarding the recovery of your losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group operates on a contingency fee basis and we represent our clients nationwide before FINRA. Let our experience work for you.
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