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Regulatory Notice 19-36

Summary

Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present significant conflicts of interest, and FINRA has previously taken steps to address misconduct in this area.   

2018060416901 Gregory Voetsch CRD 1223244 AWC jm (2019-1575764387102).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060416901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory Voetsch, Respondent Former Registered Representative CRD No. 1223244 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory Voetsch submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations