Articles Tagged with FINRA Rule 4530

Joe Henehan (CRD#: 1344245), a former broker with Hornor, Townsend & Kent, LLC (CRD#: 4031) in San Bernardino, California, has been permitted to resign from the firm after the company informed him he would be terminated, according to his BrokerCheck record accessed on March 10, 2020.

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What happened to lead to Joe Henehan’s resignation? His firm found that he failed to inform the firm of his tax liens, thereby violating firm policy and securities regulations. The firm told Joe Henehan that he would be terminated, so he resigned.

Indeed, Joe Henehan’s BrokerCheck record lists 11 tax liens, starting in 2009, when he became subject to a tax lien of $29,573. Here are his other listed liens: