Brian M. Campbell Sanctioned

September, 2012:

The Securities and Exchange Commission recently announced that Brian M. Campbell has been barred from association with any broker, dealer, or investment adviser. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a November 2011 conviction for mail fraud. The wrongdoing underlying Campbell’s conviction took place between August 2007 and April 2009. He was the managing director of the subsidiary of a bank that used the services of a broker-dealer and investment adviser and caused commission checks they owed to the bank subsidiary to be paid directly to him and diverted the funds, totaling approximately $571,000, to his own personal bank account. (Rel. 34-67770, IA-3454; File No. 3-14944)

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