Tag Archives: Jeffrey Allen Fanning

Liberty Partners Executive Fined For Failure To Supervise

Jeffrey Allen Fanning of West Palm Beach Florida is a former owner and chief executive officer of Liberty Partners Financial Services LLC who has been fined $20,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Order Accepting Offer […]

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FINRA Accuses Liberty Partners Of Supervisory Failures

December 23, 2017  |   Posted by :   |   Churning, Failure To Supervise, Investment and Regulatory News   |   0 Comments

Jeffrey Allen Fanning, of West Palm Beach, Florida, a former chief executive officer of Liberty Partners Financial Services, LLC, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Fanning, inter alia, failed to supervise stockbrokers’ activities for excessive trading in customer accounts. Department of Enforcement v. Jeffrey […]

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