Mary Ann Wise, of New York, New York, a stockbroker formerly registered with Blackbook Capital, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to comply with a FINRA investigation into her involvement with another individual FINRA barred for misconduct. Letter of Acceptance, Waiver and Consent, No. 2016049172801 (May 11, 2017).
According to the AWC, in 2016, an investigation was launched by FINRA into allegations of Wise’s wrongdoing. In furtherance of the investigation, the AWC stated that Wise provided FINRA with recorded testimony on July 22, 2016, concerning her activities while associated with Blackbook and Garden State Securities, Inc. At this time, Wise apparently provided testimony to FINRA regarding her contact with an individual who FINRA ultimately barred for misconduct.
The AWC stated that in April of 2017, FINRA staff subsequently requested that Wise make another appearance for testimony. Counsel for Wise reached out to FINRA in response on April 21, 2017, relaying that Wise acknowledged what was requested by FINRA but declined to provide any further testimony. FINRA found Wise’s failure to cooperate in the investigation to be conduct violative of FINRA Rules 2010 and 8210.
FINRA Public Disclosure reveals that Wise has been associated with twenty-six different broker dealers, eleven of which, including Blackbook, have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
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