The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.”
Keith Andrew Halsnik (CRD #5018189, Registered Representative, Bellefonte, Pennsylvania)
was barred from association with any FINRA member in any capacity. According to FINRA's findings, Keith Halsnik failed to respond to FINRA’s initial requests for information and documents as part of an inquiry regarding Halsnik allegedly engaged in excessive trading in his customer accounts.
FINRA's findings also said that Halsnik failed to respond to additional FINRA requests for information regarding mutual fund transactions in customer accounts.
(FINRA Case #2011029300801)
Keith Andrew Halsnik was previously registered with the following FINRA firm(s):
WOODBURY FINANCIAL SERVICES, INC. (CRD# 421) - BELLEFONTE, PA
11/2010 - 08/2011
EDWARD JONES (CRD# 250) - STATE COLLEGE, PA
01/2008 - 09/2010
WACHOVIA SECURITIES, LLC (CRD# 19616) - ASHEVILLE, NC
01/2008 - 01/2008
A. G. EDWARDS & SONS, INC. (CRD# 4) - ASHEVILLE, NC
11/2005 - 01/2008
This ends the summation of information from FINRA’s website.
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