Gretchen Jenkins of Rochester New York a stockbroker formerly registered with LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Jenkins failed to provide FINRA personnel with information after an inquiry was made by FINRA into her activities. Case No. 2018057783001 (July 26, 2018).
According to FINRA Public Disclosure, Jenkins had been provided a Notice of Suspension on July 2, 2018, which stated that by July 26, 2018, Jenkins would suspended in all capacities for failing to cooperate with FINRA’s request for information. Jenkins was apparently made aware that she is required to provide FINRA with documentation by October 4, 2018, otherwise she is expected to be automatically barred by FINRA on October 5, 2018.
LPL Financial LLC reportedly discharged Jenkins on March 14, 2018 based upon accusations that she gained unauthorized access to a customer’s account held away from LPL Financial LLC.
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