George Warner

Date:

May 12, 2021

Type of alert:

FINRA AWC  

On March 9, 2021, the Financial Industry Regulatory Authority (FINRA) Department of Enforcement imposed a bar on George Warner, a former general securities representative for failing to provide information and documents, in violation of FINRA Rules 8210 and 2010. Warner was recently associated with Chelsea Financial Services in Staten Island, New York from September 2017 to October 2019.

According to the Letter of Acceptance, Waiver, and Consent (AWC), FINRA sent a request for the production of information and documents in connection with an investigation into Warner’s alleged participation in undisclosed private securities transactions. Warner’s alleged refusal to cooperate with the investigation, violated FINRA Rules 8210 and 2010. By signing the AWC, Warner consented to a bar from associating from FINRA member firms in all capacities.

Warner’s BrokerCheck report reveals that he signed another AWC in April 2017, consenting to the entry of findings that he altered numerous customer documents on several occasions after the documents had already been signed by the customers. Warner also has a pending customer dispute alleging selling away with $100,000 in damages requested.

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