FINRA Disciplinary Actions January 2022

JASON PATRICK HAMBY (CRD #3089278, BLACKSBURG, VIRGINIA)

December 22, 2021 – An AWC was issued in which Hamby was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Hamby consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony to FINRA in the course of an investigation. The findings stated that Hamby was under investigation regarding allegations that he had involved an unregistered person in activities that required securities registration when he failed to appear. (FINRA Case #2019064729704)

SCOTT ALAN KAUFMAN (CRD #2047445, MALVERN, PENNSYLVANIA

December 22, 2021 – An AWC was issued in which Kaufman was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kaufman consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony to FINRA in the course of an investigation. The findings stated that Kaufman was under investigation regarding allegations that he used a fixed income trading strategy designed to increase bond ratings at the expense of lowering yield to customers when he failed to appear. (FINRA Case #2019063886401)

AMY MARJORIE O’BRIEN (CRD #5765481, FORT MILL, SOUTH CAROLINA)

December 23, 2021 – An AWC was issued in which O’Brien was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, O’Brien consented to the sanction and to the entry of findings that she refused to provide documents and information as requested by FINRA. The findings stated that O’Brien was under investigation regarding claims that she improperly received funds from an elderly customer when she failed to cooperate. (FINRA Case #2021073002001)

DAVID KHEZRI (CRD #2736831, HAUPPAUGE, NEW YORK)

December 23, 2021 – An AWC was issued in which Khezri was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Khezri consented to the sanction and to the entry of findings that he refused to provide documents and information as requested by FINRA. The findings stated that Khezri was under investigation regarding claims that he made unsuitable securities recommendations in customer accounts when he failed to cooperate. (FINRA Case #2021070381701)

KYLE ZACHARY WITTGREN (CRD #6221630, FRISCO, TEXAS)

December 27, 2021 – An AWC was issued in which Wittgren was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Wittgren consented to the sanction and to the entry of findings he refused to appear for on-the-record testimony to FINRA in the course of an investigation. The findings stated that Wittgren admitted to his member firm that he signed clients’ names without the clients’ knowledge or consent, submitted 13 unfunded variable annuity rollover applications and altered three of the clients’ email addresses in violation of company policy. (FINRA Case #2021071290001)

ROGER OAKLEY WAITE (CRD #2848213, TEMECULA, CALIFORNIA)

December 31, 2021 – An AWC was issued in which Waite was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Waite consented to the sanction and to the entry of findings that he refused to provide documents and information as requested by FINRA. The findings stated that Waite was under investigation regarding allegations made by his former member firm that he paid brokerage commissions to an unregistered person when he refused to cooperate. (FINRA Case #2019064510501 )

WARREN ELLWOOD ROWE JR. (CRD #1065880, RICHMOND, VIRGINIA)

January 3, 2022– An AWC was issued in which Rowe was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Rowe consented to the sanction and to the entry of findings that he refused to provide documents and information as requested by FINRA. The findings stated that Rowe was under investigation regarding allegations made by his former member firm that he received impermissible loans from customers when he refused to cooperate. (FINRA Case #2020066566001)

MICHAEL RENE PENA. (CRD #6523538, PEMBROKE PINES, FLORIDA)

January 11, 2022– An AWC was issued in which Peña was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Peña consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA. The findings stated that Rowe was under investigation regarding allegations made by his former member firm that he submitted false continuing education course completion documents and failed to amend his U4 in a timely fashion to disclose a potentially reportable event when he refused to cooperate. (FINRA Case #2021069166501)