The Sonn Law Group has substantial experience representing investors who have suffered losses as a result of their broker engaging in private securities transactions. Call us today for a free case review: 305-912-3000
Regulator says Kenneth Tyrrell engaged in undisclosed trades worth $13 million
This article was originally published by InvestmentNews.com
The Financial Industry Regulatory Authority Inc. has barred former UBS broker Kenneth S. Tyrrell for participating in eleven undisclosed private securities transactions and engaging in five undisclosed outside business activities.
He did not give prior notice to UBS about the transactions, which were worth $13 million, Finra said in its letter of acceptance, waiver and consent.
Mr. Tyrrell entered the securities industry in 1994 and worked at several firms before joining UBS Financial Services in 2008. He was terminated by the firm in August 2016, after which he worked for Cary Street Partners. He was terminated from that firm in 2017.
CONTACT US FOR A FREE CONSULTATION
Se Habla Español
Contact our office today to discuss your case. You can reach us by phone at 844-689-5754 or via e-mail. To send us an e-mail, simply complete and submit the online form below.