Keith Allen Haynes Jr. of Winchester Kentucky a stockbroker formerly registered with LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he did not cooperate with a FINRA inquiry into his activities likely concerning the allegations cited in his termination from LPL Financial LLC. Case No. 2018058502001 (Nov. 16, 2018).
Particularly, Haynes was discharged by the firm on April 12, 2018 supported by accusations that he did not follow a customer’s instructions. Following the termination, FINRA requested information from Haynes about his activities. However, Haynes failed to respond. Evidently, FINRA issued Haynes a Suspension from Association letter on November 16, 2018. Haynes reportedly had until January 27, 2019 to furnish information requested by FINRA or otherwise request that his suspension be terminated.
