According to FINRA, Robert Gleason, (CRD No. 222951 , Owensboro, KY) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Gleason allegedly consented to the sanction and to the entry of findings that he may have engaged in sales practice violations in a customer’s account while he was employed at Ross, Sinclaire & Associates, LLC. According to FINRA, Mr. Gleason’s alleged unwillingness to provide testimony for the investigation prevented FINRA staff from reaching a determination as to whether the alleged violations occurred. By the foregoing, Gleason allegedly violated FINRA Rules 8210 and 2010.
For FINRA’s full findings see FINRA Case # 2015047887401
According to his FINRA BrokerCheck, Gleason was registered with Ross, Sinclaire & Associates, LLC in Owensboro, KY from 02/2009 – 09/2014.
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