FINRA Bars Madison Trewhitt

Madison Trewhitt (CRD #: 2008420), a broker formerly registered with LPL Financial, has been barred by FINRA, according to his BrokerCheck record, accessed on June 19, 2022. Keep reading to learn more about Madison Trewhitt’s conduct as a broker.

Bar by FINRA

On April 21, 2022, Madison Trewhitt consented to the entry of findings that he allegedly refused to appear for testimony in connection with a FINRA investigation into his termination from LPL Financial.

According to the Acceptance, Waiver & Consent (AWC) agreement, LPL Financial fired Madison Trewhitt on September 29, 2020, citing the transmission of “unprofessional images” from his personal email account to his firm email account, violating firm policy for standards of conduct.

The AWC concludes that Madison Trewhitt’s alleged refusal to appear for testimony violates FINRA Rules 8210 and 2010.

FINRA Rules 8210 and 2010

FINRA Rule 8210 requires members to provide testimony upon request, as well as any records, documents, and other materials requested as part of FINRA investigations.

Violations of this rule constitute automatic violations of FINRA Rule 2010, which holds brokers to high standards of commercial honor and ethical conduct.

Sanctions

Madison Trewhitt has been indefinitely barred from associating with FINRA members in all capacities. His bar began on April 21, 2022.

You can read the full AWC here.

Background Information

Madison Trewhitt has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 24 – General Securities Principal Examination

He has also worked for the following firms:

• LPL Financial (CRD#:6413)
• Infinex Investments (CRD#:35371)
• Uvest Financial Services Group (CRD#:13787)
• Suntrust Investment Services (CRD#:17499)
• Amsouth Investment Services (CRD#:15692)
• J.J.B. Hilliard, W.L. Lyons (CRD#:453)
• J.C. Bradford & Company (CRD#:1287)
• Edward D. Jones & Company (CRD#:250)

Kurta Law Can Help

If you worked with Madison Trewhitt 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.