The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.”
Charles Scot Jacobi (CRD #1209710, Registered Principal, Palatine, Illinois)
was fined $25,000, suspended from association with any FINRA member in any capacity for one month, and ordered to retake the examinations for the Series 7 and 63 licenses before associating with a member firm following his suspension.
Without admitting or denying the findings, Charles Jacobi consented to the described sanctions and to the entry of findings that his transactions facilitated another member firm’s purchase or sale of securities for a commission or service charge that was in excess of a fair and reasonable amount.
The suspension is in effect from November 18, 2013, through December 17, 2013. (FINRA Case #2008012367901)
According to FINRA's BrokerCheck, Charles Scot Jacobi is currently registered with the following FINRA firm:
VINING SPARKS (CRD# 27502) Registered with this firm since 11/18/2013
222 S. RIVERSIDE PLAZA, SUITE 800, CHICAGO, IL 60606
Charles Scot Jacobi was previously registered with the following FINRA firm(s):
ICBA SECURITIES (CRD# 24088) - CHICAGO, IL
03/2005 - 12/2012
HOWE BARNES INVESTMENTS, INC. (CRD# 2240) - CHICAGO, IL
02/1995 - 04/2005
EVEREN SECURITIES, INC. (CRD# 19616) - ST. LOUIS, MO
11/1992 - 02/1995
HOWE BARNES INVESTMENTS, INC. (CRD# 2240) - CHICAGO, IL
01/1984 - 12/1990
This ends the summation of information from FINRA’s website.
For a free consultation with an attorney on how to potentially recover your investment losses due to your broker/financial advisor’s recommendations call: 888-760-6552. Soreide Law Group represents clients nationwide in arbitrations before FINRA.
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