Shane Perry Suspended by FINRA
Shane Perry (CRD #: 2163879), a broker registered with PFS Investments, has been suspended by FINRA, according to his BrokerCheck record, accessed on April 21, 2022. If you want to learn more about Shane Perry’s conduct as a broker, keep reading.
Suspension by FINRA
In an Acceptance, Waiver, and Consent agreement (AWC) filed on January 19, 2022, Shane Perry is alleged to have willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) in a timely manner. Specifically, he is alleged to have failed to disclose $1,015,063 in outstanding federal tax liens.
FINRA Rules 1122 and 2010
FINRA Rule 1122 requires FINRA members to file accurate and complete information regarding their membership or registration and to promptly correct any information which may be misleading.
Many violations of other rules are automatic violations of FINRA Rule 2010, which requires high standards of professional conduct from brokers.
By consenting to the AWC, Shane Perry also agreed to the following sanctions:
- $7,500 fine
- Suspension from FINRA from February 22, 2022, to July 21, 2022
You can access the full AWC here.
Additional Tax Liens
Shane Perry is the subject of tax liens totaling approximately $3,759,691.81 from 2008 to 2019.
Shane Perry 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
Shane Perry is a registered broker in Arizona, Pennsylvania, and Texas.
Kurta Law Can Help
If you worked with Shane Perry and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.