KALE E. EVANS

10/03/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Kale E. Evans San Diego, CA, Respondent. DECISION Complaint No. 2006005977901 Dated: October 3, 2011 Respondent recommended unsuitable trades, traded excessively, settled a customer's complaint away from his firm, and engaged in unethical conduct. Held, findings affirmed and sanction modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Joel T. Kornfeld,

10/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. KALE E. EVANS (CRD No. 2236466), Respondent. Disciplinary Proceeding No. 2006005977901 Hearing Officer - MC HEARING PANEL DECISION October 16, 2009 Respondent Kale E. Evans is barred from associating with any FINRA member firm in any capacity for: (i) recommending and effecting unsuitable transactions in a customer's account, in violation of Conduct Rules 2110 and 2310; (ii) making a payment to

03/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KALE E. EVANS (CRD No. 2236466), Respondent. Disciplinary Proceeding No. 2006005977901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This matter involves a former TD Waterhouse representative, Kale Evans, who gained access to an 18 year old individual's (AV) inheritance by inducing her to open joint accounts with him including a TD Waterhouse brokerage account which she funded

Reference 2006005977901data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org