Finra bars former rep for not providing requested information

Regulator was investigating Kevin Lee's possible undisclosed business activities

Apr 12, 2018 @ 2:07 pm

By InvestmentNews

The Financial Industry Regulatory Authority Inc. has barred former representative Kevin Lee for not providing the complete information it requested as part of an investigation.

In a letter of acceptance, waiver and consent, Finra said it was looking into payments Mr. Lee received from a customer of his firm, Seattle-based Martin Nelson & Co., to determine whether Mr. Lee engaged in an undisclosed business activity or otherwise acted in violation of Finra rules.

Mr. Lee, of Lake Oswego, Ore., was associated with Martin Nelson from June 11, 2015, through April 7, 2017, when he left the firm. He is no longer associated with a Finra-member firm.

There are no customer complaints listed on Mr. Lee's BrokerCheck records, which show he began his career in 1993 at Quest Capital Strategies. He worked at five firms before joining Martin Nelson.


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