According to FINRA, Robert Joseph Kerrigan Sr. (CRD #268516, Scottsdale, Arizona) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kerrigan consented to the sanction and to the entry of findings that he refused to provide FINRA with requested documents and information during an investigation into allegations that he participated in undisclosed private securities transactions and outside business activities.
For FINRA’s full findings, see FINRA Case #2015047151401.
According to his FINRA BrokerCheck, Kerrigan was registered with First Financial Equity Corporation from 10/2008 – 08/2015.
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