Steve Dale Health, of Newport News, Virginia, a stockbroker formerly registered with Capital Securities Management, Inc., is currently the subject of a Financial Industry Regulatory Authority (FINRA) investigation which was launched on November 11, 2016, and focuses on allegations that Heath may have traded in customer accounts on a discretionary basis, and effected or recommended unsuitable investment transactions in customer accounts. FINRA Public Disclosure records reveal that a Wells Notice has been filed regarding Health’s potential violations of FINRA Rule 2010, NASD Rules 2310 and 2510, and FINRA Rules 2111 and 2010.
Previously, on August 20, 2014, Health was terminated by both Stratos Wealth Partners and LPL Financial LLC, based upon allegations from each firm that Health violated firm policy by utilizing discretion in customers’ brokerage accounts, and trading mutual funds without authorization. Following Health’s termination, he was registered with Capitol Securities Management, Inc., from October 21, 2014 to December 31, 2016.
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