Soreide Law Group, based in Florida, obtained the following information from FINRA’s Disciplinary Reports January 2017:
Jennifer Lynn Steele (CRD #2761110, Pinellas Park, Florida)
was fined $5,000 and suspended by FINRA for one month for allegedly failing to provide prior written notice to, and receive approval from, her member firm of an outside business activity for which she was the sole owner and managing member, and from which she had a reasonable expectation of compensation.
FINRA’s findings stated that the outside business activity was a limited liability corporation that had been formed for tax- and asset-protection purposes, and Steele received a salary and distributions from the outside business. The firm’s WSPs required registered representatives to provide prior written notice to the firm and to receive the firm’s approval for all outside business activities.
Jennifer Lynn Steele’s suspension was in effect from December 5, 2016, through January 4, 2017.
(FINRA Case #2014040343702)
According for FINRA’s BrokerCheck, Jennifer Lynn Steele was registered in the securities industry for 16 years and was listed with 4 firms, the most recent listed below:
07/19/2012 - 12/31/2016 HARBOR LIGHT SECURITIES, LLC - TAMPA, FL
12/15/2009 - 07/19/2012 J.P. TURNER & COMPANY, LLC - TAMPA, FL
If you were a client of Jennifer Lynn Steele, formerly with HARBOR LIGHT SECURITIES, LLC of TAMPA, FL, and experienced financial losses due to her actions or recommendations, call the Florida-based Soreide Law Group for a free consultation regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA and we operate on a contingency fee basis.
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