Leonard Eugene Tanner (CRD #442470, Indianapolis, Indiana) Alternate Names: GENE TANNER, LEONARD E TANNER
was fined $15,000 and suspended from association with any FINRA member in any capacity for 10 business days. Allegedly, Tanner exercised discretion in executing transactions in approximately 90 client accounts without obtaining the clients’ written authorization and without his member firm’s approval of these accounts for discretionary trading.
FINRA's findings stated that Tanner received his clients’ prior verbal authorization for purchases and sales of products consistent with their investment strategies, but exercised his discretion in executing those transactions also on future dates. By exercising discretion in his clients’ accounts, Tanner violated his firm’s policies and procedures.
The suspension was in effect from April 6, 2015, through April 17, 2015.
(FINRA Case #2014040152701)
Leonard Eugene Tanner has been registered with the following firm since 10/2010:
CITY SECURITIES CORPORATION (CRD# 1459)
30 SOUTH MERIDIAN STREET, SUITE 600, INDIANAPOLIS, IN 46204-3573
Leonard Eugene Tanner was previously registered with the following firms:
11/2009 - 10/2010 PNC INVESTMENTS (CRD# 129052) - INDIANAPOLIS, IN
07/1995 - 11/2009 NATCITY INVESTMENTS, INC. (CRD# 17490) - INDIANAPOLIS, IN
08/1969 - 07/1995 RAFFENSPERGER, HUGHES & CO., INC. (CRD# 699) - INDIANAPOLIS, IN
This information, obtained from FINRA's Disciplinary Actions May 2015, ends here.
If you have become a victim of unauthorized trading, please contact Soreide Law Group for a free consultation with an attorney at 888-760-6552.
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