Gina Rea Kidd, of Bedford, Virginia, a stockbroker formerly registered with Allstate Financial Services, has been charged by Financial Industry Regulatory Authority (FINRA) with impeding a FINRA investigation by failing to testify regarding her alleged involvement with an unregistered person relating to securities business. Department of Enforcement v. Gina Kidd, Disciplinary Proceeding No. 2019064729705 (February 4, 2022).
According to the Complaint, Kidd became the subject of a FINRA investigation when she was terminated as a stockbroker by Allstate Financial Services. The securities broker dealer indicates that it terminated Kidd because of her activities with an unregistered individual.
On September 15, 2021, Kidd was asked by FINRA to testify in the investigation. The regulator scheduled the date of Kidd’s appearance for October 21, 2021, and Kidd allegedly failed to appear. A second request was made by FINRA but with no success.
The Complaint states that by November 26, 2021, Kidd responded, telling FINRA she was not available for its investigation. The regulator rescheduled the date of Kidd’s appearance, but she never showed up. Department of Enforcement alleges that Kidd violated FINRA Rules 2010 and 8210 for impeding the regulator’s investigation.
Kidd was registered with Allstate Financial Services between February 8, 2017, and March 3, 2020.
