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Ronald Siemon

Date:

February 3, 2017

Type of alert:

FINRA AWC  

Ronald Siemon a/k/a Ron Siemon (CRD# 1488312), formerly associated with LPL Financial LLC (LPL) in Albuquerque, New Mexico, entered into a Letter of Acceptance, Waiver and Consent (AWC) to resolve allegations FINRA made against him regarding violations of securities industry rules. According to the allegations contained in the FINRA AWC, FINRA made several attempts to obtain documents and information from Siemon regarding a customer complaint, pursuant to FINRA 8210. Siemon allegedly refused to provide FINRA with the information it requested, thus according to FINRA violated FINRA Rules 8210 and 2010.

By signing this AWC, Siemon consented, without admitting or denying the allegations made against him by FINRA, to a bar from associating with any FINRA member in any capacity.

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