Finra bars former broker over unauthorized use of discretion

Kenneth Neuner, terminated by Summit Brokerage, was an arbitration no-show

Oct 11, 2017 @ 4:29 pm

By InvestmentNews

The Financial Industry Regulatory Authority has barred former broker Kenneth Neuner after he failed to appear at a hearing looking into his unauthorized use of discretion.

Mr. Neuner had been employed by Summit Brokerage Services until March, when the firm terminated him for unauthorized exercise of discretion. A Finra letter of Acceptance, Waiver and Consent provided no additional information.

Mr. Neuner began his securities career in 1996 at Dominion Capital, and soon moved to VSR Financial Services, where he spent the next 20 years. He joined Summit in 2016.


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