Victim of Financial Fraud? Call Now

Bentley Blackmon Faces Three-Month Suspension from FINRA

May 20, 2022 General

Bentley Blackmon (CRD #: 2627221), a former broker, has been suspended by FINRA, according to his BrokerCheck record, accessed on May 13, 2022. Read on if you have questions about Bentley Blackmon’s conduct as a broker.

FINRA Suspension

On March 14, 2022, a FINRA investigation alleged that Bentley Blackmon failed to disclose his participation in private securities transactions to his firm, Stephens Inc. The transactions allegedly took place between March and August 2020 and totaled approximately $450,000.

FINRA filings conclude that these allegations constitute violations of FINRA Rules 3280 and 2010.

FINRA Rules 3280 and 2010

FINRA Rule 3280 requires that brokers inform their firm before engaging in private securities transactions. FINRA Rule 2010 holds brokers to high standards of ethical conduct.

Sanctions

Bentley Blackmon consented to the following sanctions:

  • $5,000 fine
  • Three-month suspension from FINRA in all capacities

His suspension began on March 21, 2022, and will end on June 20, 2022. You can read the full AWC here.

Discharge from Stephens Inc.

On September 29, 2020, Stephens Inc. fired Bentley Blackmon, alleging he violated FINRA Rule 3280 as well as firm policies by engaging in private securities transactions.

Background Information

Bentley Blackmon has passed the following exams:

 

  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 31 - Futures Managed Funds Examination
  • Series 7 - General Securities Representative Examination

 

In the past, he has worked for Stephens Inc. (CRD#:3496) and Morgan Stanley DW (CRD#:7556).

Kurta Law Can Help

If you worked with Bentley Blackmon and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

 

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.