Enoch Booth Barred Following Allegations of Undisclosed Transactions
Enoch Booth (CRD #: 4370233), a former broker registered with Valic Financial Advisors, has been barred by FINRA, according to his BrokerCheck record, accessed on September 15, 2021. You can read the details below.
On July 20, 2021, FINRA barred Enoch Booth as part of an Acceptance, Waiver, and Consent agreement (AWC). FINRA alleged that Enoch Booth had failed to provide documents requested in connection to an investigation. The investigation followed his termination and allegations from his firm that Enoch Booth failed to disclose a series of private securities transactions. You can read a copy of the AWC here.
On December 18, 2020, Valic Financial Advisors fired Enoch Booth following allegations that he failed to disclose a series of private securities transactions and failed to disclose a self-direction IRA.
Enoch Booth Background Information
Enoch Booth has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products /Variable Contracts Representative Examination
Enoch Booth has worked with these firms:
- Valic Financial Advisors (CRD #: 42803)
- The Variable Annuity Marketing Company (CRD #: 5081)
Kurta Law Can Help
If you worked with Enoch Booth and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.