KENNY AKINDEMOWO

02/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. KENNY AKINDEMOWO (CRD 4315718), RESPONDENT. DISCIPLINARY PROCEEDING No. 2011029619301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In December 2010 and March 2011, Kenny Akindemowo induced two individuals to invest a total of $15,000 in private securities transactions. Instead of using the money as promised, however, Akindemowo misappropriated it and converted it to his own

01/23/2014: This decision has been appealed and is pending review by FINRA's National Adjudication Council (NAC). Therefore, this decision is not final and the NAC may modify the findings and sanctions contained herein. FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KENNY AKINDEMOWO (CRD No. 4315718), Respondent. Disciplinary Proceeding No. 2011029619301 Hearing Officer - SNB, HEARING PANEL DECISION January 23, 2014 Respondent converted investor funds, in

12/29/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Kenny Akindemowo Hopkins, MN, Respondent. DECISION Complaint No. 2011029619301 Dated: December 29, 2015 Respondent induced two investments by deceptive means, converted investor funds, and engaged in private securities transactions and outside business activities without providing written notice to his firm. Held, findings affirmed and sanctions modified to order

09/30/2016: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 79007 / September 30, 2016 Admin. Proc. File No. 3-17076 In the Matter of the Application of KENNY AKINDEMOWO For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Fraud Conversion Private Securities Transactions Outside Business Activities Former associated person of member firm appeals from FINRA disciplinary action

Reference 2011029619301data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org