Proceeding Number 2006005977901

Hearing Panel Decision in Department of Enforcement v. Kale E. Evans

October 16, 2009

Respondent Kale E. Evans is barred from associating with any FINRA member firm in any capacity for: (i) recommending and effecting unsuitable transactions in a customer's account, in violation of Conduct Rules 2110 and 2310; (ii) making a payment to settle a customer complaint without the knowledge or authorization of his member firm employer, in violation of Conduct Rule 2110; and (iii) engaging in an unethical business-related course of conduct, in violation of Conduct Rule 2110.

 

This decision has been appealed.

View Decision (PDF 122 KB)