Dalton Strategic Advisor Abern Barred From Industry

This was not Dalton Strategic's only regulatory issue This is also is not the first for Abern.
By: Rex Law
 
ORLANDO, Fla. - Dec. 10, 2018 - PRLog -- Andrew M. Abern , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to appear at an on the record interview requested by FINRA to answer questions relating to recommendations he made to
customers regarding the purchase and sale of variable annuities.

AWC No. 2015043654301 Rex law

Abern was barred from the securities industry.

This was not Dalton Strategics only regulatory issue   This is also is not the first for Abern.  In 2012, FINRA accepted a Letter of Acceptance, Waiver and Consent in which Abern, consented to a findings by FINRA that he violated NASD Conduct Rules 2310 and 2111 by providing customers with variable annuity expense disclosure forms that understated the annual expenses, and by engaging in an unsuitable transaction with a customer. Abern consented to a $25,000 fine in that matter.

Dalton Strategic offenses and Abern can be found below
https://brokercheck.finra.org/firm/summary/23485
https://brokercheck.finra.org/individual/summary/1059214

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Tags:Steve Dalton
Industry:Finance
Location:Orlando - Florida - United States
Subject:Awards
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Page Updated Last on: Jan 05, 2019
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