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Sean Lawton is the Subject of a FINRA Investigation

Sean Lawton (CRD #: 2201192), a previously registered broker with Windward Capital, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck record, accessed on October 24, 2024. Keep reading if you have questions regarding his alleged conduct. 

FINRA Investigation 

On August 30, 2024, FINRA made a preliminary determination to recommend disciplinary action against Sean Lawton alleging a violation of FINRA Rules 8210 and 2010 when he failed to respond to requests for documents and information. 

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.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 8210 also violate this rule. 

Background Information 

Sean Lawton has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 99TO – Operations Professional Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 79 Investment Banking Registered Representative Examination 
  • Series 7 General Securities Representative Examination  
  • Series 24 General Securities Representative Examination 
  • Series 8 General Securities Sales Supervisor Examination (Options Module & General Module) 

During his 28 years of experience, he has registered with five firms: 

  • Windward Capital (CRD #: 142245) 
  • Wells Fargo Advisors (CRD #: 19616) 
  • TD Waterhouse Investor Services (CRD #: 7870) 
  • A.J. Michaels & Co. (CRD #: 19883) 
  • Schonfeld Securities (CRD #: 23304) 

Kurta Law Can Help 

If you worked with Sean Lawton 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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