David Potter

Date:

March 3, 2015

Type of alert:

FINRA AWC  

Former LaSalle Street Securities, LLC stockbroker David L. Potter (CRD# 2991638) of Tampa, Florida, who did business as Platinum Wealth Partners, Inc., recently entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations FINRA made against him regarding violations of securities industry rules.

David L. Potter consented, without admitting or denying the allegations made against him by FINRA, to a deferred $15,000 fine and a 5 month suspension from associating with any FINRA member firm in any capacity in resolution of FINRA Disciplinary Proceeding No. 2013035055102. FINRA alleged that Potter failed to notify his firm regarding his involvement in an attempted private offering, continued his involvement in the offering after being requested to cease by his firm, failed to file the offering documents with FINRA, and made negligent misrepresentations to investors.

According to regulatory records, Potter was discharged by LaSalle Street Securities, LLC on May 13, 2013, after the firm determined “that certain conditions for participation in the activity as expressed by LaSalle Street Securities to the representative/principal were not followed as represented and required.”

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