South Florida Arbitration & Litigation Lawyer Blog
FINRA Arbitration Securities Mismanagement and Fraud Attorney, Russell L. Forkey, Esq.
June, 2011:
Kirk Kenneth Kepper (CRD #2980989, Registered Representative, Baton Rouge, Louisiana, formerly licensed with Park Avenue Securities, LLC.) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kepper consented to the described sanction and to the entry of findings that he engaged in outside business activities when he formed limited liability companies and failed to inform his member firm of the companies and of the position he held in the companies. The findings stated that Kepper failed to respond to a FINRA request to appear for an on-the record interview. (FINRA Case #2009020594801).