Sean Morgan Storm Boswick, of New York, New York, a stockbroker registered with Brock Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Boswick failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2021071319701 (January 26, 2023).
According to the AWC, on August 25, 2022, Boswick was sent a request for the production of information and documents concerning his potential private securities transactions. The request, in part, sought the production of his personal bank account information and statements. Boswick partially complied with the request but ultimately failed to provide all of the information and documents.
FINRA sent a second request on September 28, 2022, which Boswick also failed to comply. Through telephone calls with FINRA staff, Boswick indicated that he had received FINRA’s requests but would not produce the documents and information at any time. Therefore, Boswick violated FINRA Rules 2010 and 8210.
Boswick was associated with Brock Securities LLC in New York, New York, as a stockbroker from December of 2011 to May of 2021. On April 9, 2021, Brock Securities LLC discharged Boswick based upon allegations that he engaged in private securities transactions.
