Eric David Kennedy

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Eric David Kennedy (CRD No. 5194734), Respondent. DISCIPLINARY PROCEEDING No. 2013039558401 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. On November 22, 2013, while registered with People's Securities, Inc. (the "Firm") and simultaneously employed as a branch manager with the Firm's parent bank (the "Bank"), Respondent converted
08/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIC DAVID KENNEDY (CRD No. 5194734), Respondent. Disciplinary Proceeding No. 2013039558401 Hearing Officer-RLP DEFAULT DECISION August 28, 2014 Respondent is barred from associating with any FINRA member in any capacity for converting employer funds, in violation of FINRA Rule 2010, and for failing to provide a complete response to requests for information, in violation of FINRA Rule
Reference 2013039558401data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5194734

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