KENNETH BROWNLEE

10/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kenneth Brownlee (CRD No. 4534181), Respondent DISCIPLINARY PROCEEDING No. 2013036217601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2009 and June 2010, Kenneth Brownlee sold four customers interests in limited liability corporations created by City Capital Corporation ("CCC"), a company that purported to offer

08/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KENNETH BROWNLEE (CRD No. 4534181), Respondent. Disciplinary Proceeding No. 2013036217601 Hearing Officer-CC HEARING PANEL DECISION August 6, 2015 Respondent violated FINRA Rules 2010 and 8210 and NASD Rules 2310 and 3040 by recommending unsuitable investments to four

Reference 2013036217601data-portal.finra.orgdata-portal.finra.orgfinra.org

04/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036955501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kenneth D. Brownlee, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 1277737] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Kenneth D. Brownlee, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013036955501data-portal.finra.orgfinra.org