Casey James Kemerly of Pennington Gap Virginia a stockbroker formerly registered with Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not cooperate with FINRA when it investigated his termination from Edward Jones and his criminal charges from August of 2020. Letter of Acceptance Waiver and Consent No. 2020067985401 (Aug. 4, 2021).
According to the AWC, FINRA’s investigation into Kemerly came about from Edward Jones’ notification of Kemerly’s termination as stockbroker. At the time of Kemerly’s termination Edward Jones on October 7, 2020, Kemerly was criminally charged with forgery with the intend to defraud.
FINRA Public Disclosure shows that Kemerly has been charged with two counts of theft, one of which has been classified as a felony offense. He also faces felony charges of identify deception forgery with intentions of committing fraud.
On March 12, 2021 and on June 4, 2021, Kemerly was asked to provide FINRA with documents and information in regard to those criminal charges. Kemerly initially responded to FINRA but eventually stopped providing information by June of 2021.
FINRA indicated that Kemerly’s lawyer relayed that Kemerly would not provide any of the information or documents as it related to FINRA’s investigation. The regulator determined that Kemerly violated FINRA Rules 2010 and 8210 for his refusal to comply with those requests.
Kemerly was registered with LPL Financial LLC between January 8, 2016 and August 9, 2016. He was also registered with Park Avenue Securities LLC between February 10, 2017 and February 4, 2019, and Edward Jones between January 24, 2020 and October 7, 2020.
