Finra bars former TD Ameritrade broker over expenses inquiry

William Poynter declined to appear at hearing looking into tuition reimbursements

May 20, 2019 @ 12:20 pm

By InvestmentNews

The Financial Industry Regulatory Authority Inc. has barred William Poynter, a former registered representative with TD Ameritrade, for failing to provide documents and for refusing to appear at a hearing looking into his handling of expense reporting.

(More: TD Ameritrade announces three finalists in its first fintech competition)

Finra said that Mr. Poynter was the subject of an inquiry into whether he had submitted inaccurate expenses under his former firm's tuition reimbursement program. Mr. Poynter resigned from TD Ameritrade in May 2018 after the firm began its own investigation of the matter.

Mr. Poynter joined TD Ameritrade in 2012 after spending a year at Morgan Stanley and three years at NYLife Securities.


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