Patrick Emanuel Sutherland

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Innovation Partners LLC (BD No. 146344), Patrick Emanuel Sutherland (CRD No. 3042322), and Yanique Lawrence (CRD No. 3234186), Respondents. Disciplinary Proceeding No. 2016050957901 Hearing Officer—CC ORDER ACCEPTING OFFER OF SETTLEMENT ON BEHALF OF PATRICK EMANUEL SUTHERLAND Date: August 26, 2019 INTRODUCTION Disciplinary Proceeding No. 2016050957901 was filed on November 26, 2018 by the Department
11/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Innovation Partners LLC (BD No. 146344), Patrick Emanuel Sutherland (CRD No. 3042322), and Yanique Lawrence (CRD No. 3234186), Respondents. DISCIPLINARY PROCEEDING NO. 2016050957901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about October 28, 2016 through on or about July 31, 2017
Reference 2016050957901data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3042322

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.