Public records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Maryland-based Lombard Securities broker/adviser Charles Jenkins was discharged from his previous employer. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jenkins (CRD# 3182100).
Charles Jenkins has spent 17 years in the securities industry and has been registered with Lombard Securities in Baltimore, Maryland since February, 2016. Previous registrations include Janney Montgomery Scott in Pittsburgh, Pennsylvania (2013-2016); PNC Investments in Pittsburgh, Pennsylvania (2004-2013); and Merrill Lynch in New York, New York (1999-2004). He is a registered broker and investment adviser with three US states: Maryland, Pennsylvania, and Virginia.
According to his BrokerCheck report, Charles Jenkins has been discharged from two previous employers.
In January 2016, Charles Jenkins was terminated from his position at Janney Montgomery Scott following allegations of unauthorized trading.
In 2013, Charles Jenkins was terminated from his position at PNC Investments “while on heightened supervision for failure to obtain required pre-approvals and a customer complaint alleging unauthorized trading.”
Both FINRA rules and federal securities law forbid financial professionals like Charles Jenkins from executing transactions without a customer’s permission or authorization. There are some exceptions, including discretionary accounts and, in some circumstances, margin accounts. Brokers, investment advisers, and broker-dealer firms who execute unauthorized transactions may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you or someone you know has a complaint regarding Charles Jenkins, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.