Ricky Eugene Bell (CRD #2065556, Fayetteville, North Carolina)
was barred by FINRA and ordered to pay a total of $19,650, plus interest, in restitution to clients. Allegedly, Bell engaged in private securities transactions through a lending program without providing notice to, or receiving approval from, his member firm.
FINRA's findings stated that Bell solicited and received personal loans totaling $19,650 from his clients without requesting or receiving his firm’s approval to solicit or receive the loans.
Bell's firm notified him of its policies and procedures against borrowing from customers.
Also, FINRA's findings stated that Bell failed to respond to FINRA requests for information and documents and to provide on-the-record testimony.
(FINRA Case #2013039439301)
Ricky Eugene Bell was previously registered with the following securities firm(s):
06/2012 - 12/2013 CAPE FEAR SECURITIES, INC. (CRD# 156359) - FAYETTEVILLE, NC
08/2005 - 05/2012 MORGAN KEEGAN & COMPANY, INC. (CRD# 4161) - WILMINGTON, NC
02/2001 - 08/2005 MORGAN STANLEY DW INC. (CRD# 7556) - PURCHASE, NY
06/1995 - 03/2001 SALOMON SMITH BARNEY INC. (CRD# 7059) - NEW YORK, NY
10/1993 - 06/1995 INTERSTATE/JOHNSON LANE CORPORATION (CRD# 431) - CHARLOTTE, NC
The previous summation of information found on FINRA’s website under "Disciplinary and Other FINRA Actions, December 2014," ends here.
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