FINRA Bars Wesley Cummings for Alleged Refusal to Comply with Requests for Information

Wesley Cummings (CRD #: 7135629) has been barred by FINRA, according to his BrokerCheck record, accessed on July 8, 2022. Read on to learn more about his conduct as a broker.

Bar by FINRA

On April 12, 2022, Wesley Cummings consented to the entry of findings that he allegedly refused to comply with FINRA requests for documents and information in connection with an investigation into his termination from his firm, Edward Jones.

This alleged refusal to comply violates FINRA Rules 8210 and 2010.

FINRA Rules 8210 and 2010

FINRA Rule 8210 requires FINRA members to comply with requests for information, documents, or testimony. 

Violations of FINRA Rule 8210 also constitute violations of FINRA Rule 2010, which holds brokers to high standards of ethical conduct and commercial honor.

Sanctions

Wesley Cummings was indefinitely barred from associating with FINRA members in all capacities starting on April 12, 2022.

You can read the full bar here.

Termination from Edward Jones

On July 14, 2021, Wesley Cummings was fired from Edward Jones for allegedly accruing business expenses that were “neither reasonable [nor] necessary in amount and type” for the operation of his branch office.

Background Information

Wesley Cummings has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 7TO – General Securities Representative Examination
• SIE – Securities Industry Essentials Examination

He previously worked for Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with Wesley Cummings 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.