Brandon Neil Suspended by FINRA
Brandon Neil (CRD #: 4382535), a previously registered broker with PFS Investments, has been suspended by FINRA. This is according to his BrokerCheck record, accessed on June 28, 2024. Keep reading if you have questions regarding his alleged conduct.
Regulatory Action
On May 20, 2024, Brandon Neil entered into an Acceptance, Waiver, and Consent agreement (AWC), in which he consented to the findings that he engaged in an outside business activity without providing written notice to his member firm. The findings stated that he worked as a marketing affiliate for a company that was owned and operated by three other firm representatives. In his capacity as a marketing affiliate, Brandon Neil allegedly referred potential customers to the company and received a commission if the customers purchased e-commerce storefront services or digital real estate. He allegedly earned $40,300 in commissions.
Terms of the AWC
As part of the terms of the AWC, Brandon Neil consented to a $5,000 fine and a three-month suspension.
You can read a copy of the AWC here.
Outside Business and Selling Away
FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.
Disclosed Outside Businesses
Brandon Neil has the following outside businesses listed on his detailed BrokerCheck record:
- Brandon Neil & Associates: Business Owner
- Rolling Bones Outdoors
- Synergy Solar Group
Background Information
Brandon Neil has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
- Series 26 Investment Company Products / Variable Contracts Principal Examination
Kurta Law Can Help
If you have worked with Brandon Neil and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.
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