Scott faced a FINRA investigation into potential undisclosed outside business activities.
John Lee Scott (CRD:2407619) was registered as a broker with LPL Financial from 2017 until 2019 and from 2013 until 2015. Scott was previously registered as a broker with Financial Telesis Inc. from 2009 until 2013.
Scott has one disclosure on his BrokerCheck report.
April 2021 Regulatory Judgment
- Initiated By: FINRA
- Allegations: Without admitting or denying the findings, Scott consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into potential undisclosed outside business activities and private securities transactions.
- Resolution: Acceptance, Waiver & Consent (AWC)
- Sanctions: Bar
- Registration Capacities Affected: All Capacities
- Duration: Indefinite
- Start Date: 4/22/2021
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The Sonn Law Group is currently investigating allegations surrounding John Lee Scott. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.
