Kenneth Edward Greer Jr. of Acton Massachusetts a stockbroker formerly employed by Liberty Tree Advisors LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Greer partook in undisclosed outside business activities. Letter of Acceptance Waiver and Consent No. 2016049134902 (Sept. 25, 2018).

According to the AWC, Liberty Tree was notified by Greer that Greer planned to be an investment fund manager. Greer’s plans reportedly included focusing on the cannabis industry and making real estate investments. Apparently, Greer’s request had been approved.

The AWC stated that Greer reportedly created three more legal companies in 2016 in order to purchase and maintain real estate on the investment fund’s behalf. Greer also reportedly established the entities so that they could provide managerial services to the fund’s purchased properties. Evidently, the articles of incorporation for establishing the entities had been signed by Greer and he planned to be paid as principal of those companies and for handling management duties.

The AWC revealed that between January 2016 and October 2016, during which time Greer was registered with Liberty Tree, he managed those entities and received compensation accordingly. All the while, Greer never informed Liberty Tree about his involvement with any of the three entities. FINRA found Greer’s conduct violative of FINRA Rule 2010 and 3270.

Greer’s registration with Liberty Tree Advisors LLC has been terminated as of October 20, 2016.

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