Edward Jones Advisor Faces Suspension and Fine for Concealing Office Ownership

Posted on February 27th, 2024 at 1:13 PM
Edward Jones Advisor Faces Suspension and Fine for Concealing Office Ownership

From the desk of Jim Eccleston at Eccleston Law 

Lincoln L. Mason has agreed to a 90-day suspension and a $5,000 fine following allegations of deceiving the firm into leasing office space he owned.

According to AdvisorHub, Mason reportedly provided false documentation and misled the firm's real estate office to secure the lease, violating FINRA's Rule 2010 and policies against unapproved outside business activities, per the terms of the Acceptance, Waiver and Consent (AWC) with FINRA.

 

Eccleston Law LLC represents investors and financial advisors nationwide in securities, employment, transition, regulatory, and disciplinary matters.

Tags: eccleston, eccleston law

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