Lynn Bryant Barred by FINRA
Lynn Bryant (CRD #: 3216344), a broker formerly registered with LPL Financial, has been barred by FINRA. This is according to her BrokerCheck record, accessed on December 4, 2023. If you have questions about her alleged conduct as a broker, read on.
FINRA Bar
On July 18, 2023, Lynn Bryant consented to the findings that she refused to appear for on-the-record testimony requested by FINRA. FINRA requested testimony in connection to allegations that she participated in private securities transactions.
FINRA Rule 8210
FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.
Termination from LPL Financial
On September 13, 2022, Lynn Bryant was fired from LPL Financial after allegedly participating in private securities transactions with clients without providing notice to or receiving approval from the firm.
FINRA Rule 3280
FINRA Rule 3280 requires brokers to seek approval from their firm before engaging in private securities transactions. Before participating in a private securities transaction, brokers are required to provide notice to their firm. If the broker is to receive compensation for their role in the transaction, the firm must approve or disapprove the broker’s participation in the transaction.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Background Information
Lynn Bryant 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 7 – General Securities Representative Examination
- Series 51 – Municipal Fund Securities Principal Examination
- Series 24 – General Securities Principal Examination
She previously worked for the following firms:
- LPL Financial (CRD#:6413)
- Raymond James Financial Services (CRD#:6694)
- H.D. Vest Investment Securities (CRD#:13686)
Kurta Law Can Help
If you have worked with Lynn Bryant and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or 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.
Loading...
Reload document 
Open in new tab