Pin Financial, L.L.C. advisor Jeffery Risinger has been banned from the securities industry after failing to provide documents and information relating to a FINRA investigation.
According to the Letter of Acceptance, Waiver and Consent (“AWC”) that FINRA entered into with Risinger, FINRA requested that Risinger appear and provide on-the-record testimony related to allegations that he participated in a Ponzi scheme. In April 2015, the Securities and Exchange Commission had previously filed a complaint against Risinger and others in the United States District Court for the Southern District of Indiana.
Instead of providing testimony to FINRA, Risinger chose to consent to a permanent ban from associating “with any FINRA member in any capacity,” according to the AWC.
Risinger entered the securities industry in October 2013 and immediately began working for Pin Financial. In May 2015, Pin notified FINRA that Risinger had been terminated.
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