Former IFS Capital Markets Broker, Keith Wakefield, Barred By FINRA For Refusing To Cooperate In FINRA Investigation Into Trading Improprieties
Keith Wakefield (CRD # 3250539) is a former Financial Advisor at IFS Capital Markets, LLC in Chicago, IL. Keith Wakefield has been in the securities industry since 1999 and previously worked at Cabrera Capital Markets, LaSalle Financial Services and ABN Amro Incorporated.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2019, FINRA barred Keith Wakefield from “acting as a broker or otherwise associating with a broker-dealer firm” for refusing “to appear for on-the-record testimony requested by FINRA in connection with its investigation for, among other things, possible trading improprieties at his member firm.”
For a copy of the FINRA sanction, click https://www.finra.org/sites/default/files/fda_documents/2019063576601%20Keith%20Wakefield%20CRD%203250539%20AWC%20va.pdf.
In August 2019, IFS Securities, Inc. discharged Keith Wakefield for allegations of “fraud. Placing fictitutous trades.”
For a copy of Kevin Gunnip’s CRD, click https://brokercheck.finra.org/individual/summary/3250539.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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