In a recent disciplinary action announcement, FINRA announced that Damien Payman Alexander (CRD #2724252, Jackson, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Alexander failed to respond to FINRA requests for information and documents. The findings stated that FINRA commenced an investigation of Alexander after receiving a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by his former member firm disclosing his termination. The Form U5 reported that Alexander failed to provide proper disclosure information and that, at the time of his termination, was under investigation by the State of California’s Corporate Division.
For the full FINRA findings, see FINRA case #2013035581901.
According to his FINRA Broker Report, Alexander was employed by Quest Securities from December 2012 through January 2013 and Financial Network Investment Corporation from August 2008 through July 2011.
The foregoing information, which is all provided on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For a free consultation with a securities attorney, please call the firm at 312/238-9650. For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com.