According to FINRA, Robert Joseph Kerrigan Sr. (CRD #268516, Scottsdale, Arizona) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kerrigan consented to the sanction and to the entry of findings that he refused to provide FINRA with requested documents and information during an investigation into allegations that he participated in undisclosed private securities transactions and outside business activities.
For FINRA’s full findings, see FINRA Case #2015047151401.
According to his FINRA BrokerCheck, Kerrigan was registered with First Financial Equity Corporation from 10/2008 – 08/2015.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm and it’s representation of investors, visit https://whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call the firm at 1-888-637-5510.
Tags: Robert Kerrigan financial advisor, Robert Kerrigan FINRA investigation, Robert Kerrigan FINRA lawsuit, Robert Kerrigan First Financial Equity, Robert Kerrigan investment advisor, Robert Kerrigan Scottsdale Last modified: July 19, 2016