Joe Mitchell McCartney (CRD #1349989, Redmond, Washington)
was suspended by FINRA for three months. McCartney allegedly borrowed $60,000 from a client and did not obtain his firm’s approval for the loans.
FINRA's findings stated that the firm’s procedures required prior written approval from the firm's personnel for any lending relationships with clients. McCartney denied the existence of the loans on annual compliance questionnaires that were submitted to the firm.
The suspension is in effect from July 7, 2014, through October 6, 2014.
(FINRA Case #2012033700501)
Joe Mitchell McCartney was previously registered with the following securities firm(s):
Registered Dates Firm
01/2003 - 08/2012 KMS FINANCIAL SERVICES, INC. (CRD# 3866) - REDMOND, WA
09/2001 - 01/2003 NEW ENGLAND SECURITIES (CRD# 615) - NEW YORK, NY
10/1993 - 09/2001 AXA ADVISORS, LLC (CRD# 6627) - NEW YORK, NY
10/1993 - 01/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD# 4039) - NEW YORK, NY
10/1993 - 12/1996 EQUITABLE VARIABLE LIFE INSURANCE COMPANY (CRD# 6907) - NEW YORK, NY
05/1985 - 06/1989 MONY SECURITIES CORP. (CRD# 4386)
This summation of information from FINRA's website, "Disciplinary and Other Actions, August 2014," ends here.
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