Mark W. Manning, of Fishkill, New York, a stockbroker registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Manning failed to comply with FINRA requests for documents and information in an investigation into a complaint. Letter of Acceptance, Waiver, and Consent, No. 2023079710301 (March 26, 2024).
According to the AWC, FINRA’s investigation of Manning originated from a complaint made to FINRA regarding Manning’s conduct and LPL Financial LLC’s Form U5, which notified FINRA of the securities broker dealer’s termination of Manning’s registration. On October 27, 2023, LPL Financial LLC discharged Manning based upon allegations that Manning accepted beneficiary and power of attorney designations and acted as power of attorney without approval.
On March 7, 2024, FINRA issued a request to Manning for the production of documents and information as part of its investigation. Despite acknowledging receipt of this request during a phone call with FINRA on March 12, 2024, Manning refused to produce the requested documents and information. By failing to comply with FINRA Rule 8210, Manning violated both Rules 8210 and 2010.
Manning was associated with LPL Financial LLC in Fishkill, New York, from December 19, 2003, to November 16, 2023.
