Thomas Tavenner Fired from Grove Point Investments
Thomas Tavenner (CRD #: 2883973), a broker formerly registered with Grove Point Investments, was recently fired. This is according to his BrokerCheck record, accessed on February 7, 2022. He is also currently registered as an adviser with Booster, LLC.
On December 1, 2021, Grove Point Investments fired Thomas Tavenner following allegations that he provided client information to a firm that he intended to transfer to while using an unapproved email address. The SEC regulates how firms protect their client’s privacy. Firms also require brokers use approved emails while they conduct securities business.
These alleged violations would also violate FINRA Rule 2010. FINRA Rule 2010 requires brokers to observe high standards of commercial honor and just and equitable principles of trade.
Thomas Tavenner 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 6 Investment Company Products / Variable Contracts Representative Examination
He has worked with the following firms:
- Grove Point Investments (CRD #: 1763)
- NYLife Securities (CRD #: 5167)
- Equity Services (CRD #: 265)
- New England Securities (CRD #: 615)
Kurta Law Can Help
If you have worked with Thomas Tavenner and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.