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ANDREW CHARLES LORD

ANDREW CHARLES LORD is currently employed as a Broker and/or Investment Adviser at PURSHE KAPLAN STERLING INVESTMENTS located at 75 CONGRESS STREET, STE 313, PORTSMOUTH, NH, 03801.

ANDREW CHARLES LORD has worked at PURSHE KAPLAN STERLING INVESTMENTS since August 24, 2016

Disclosure History

ANDREW CHARLES LORD has 2 Disclosure Event(s).

Date: October 08, 2014
Category: Regulatory
Initiated By: MASSACHUSETTS
Allegations: ON OR ABOUT MAY 30, 2014, ICC SUBMITTED TO THE CENTRAL REGISTRATION DEPOSITORY (THE "CRD") OF FINRA AN APPLICATION FOR SECURITIES INDUSTRY REGISTRATION (THE "IAR APPLICATION") SEEKING REGISTRATION OF LORD AS AN INVESTMENT ADVISER REPRESENTATIVE OF ICC IN MASSACHUSETTS. ON OR ABOUT JUNE 3, 2014, ICC SUBMITTED TO THE CRD OF FINRA AN APPLICATION FOR SECURITIES INDUSTRY REGISTRATION (THE "BD AGENT APPLICATION") SEEKING REGISTRATION OF LORD AS AN AGENT OF ICC IN MASSACHUSETTS. ON OR ABOUT FEBRUARY 27, 2014, FINRA INITIATED A REGULATORY ACTION AGAINST LORD FOR FAILING TO FILE AN AMENDMENT TO HIS FORM U-4 WITH THE CRD TO DISCLOSE AN OUTSTANDING IRS TAX LIEN THAT WAS FILED AGAINST LORD ON AUGUST 12, 2010. THE LIEN WAS NOT REPORTED TO THE CRD BY LORD UNTIL FEBRUARY 19, 2014. ON FEBRUARY 27, 2014, LORD ENTERED INTO AN ACCEPTANCE, WAIVER & CONSENT WITH FINRA IN WHICH MR. LORD WAS SUSPENDED FOR TWENTY (20) DAYS AND FINED $5,000. THE ABOVE-STATED DISCLOSURE INCIDENTS AGAINST MR. LORD HAVE MOVED THE DIVISION TO PLACE CONDITIONS ON HIS REGISTRATION AS AN AGENT OF ICC.
Resolution: Consent SanctionDetails:
Sanctions: Undertaking
Broker Comment: ON OR ABOUT MAY 30, 2014, ICC SUBMITTED TO THE CENTRAL REGISTRATION DEPOSITORY (THE "CRD") OF FINRA AN APPLICATION FOR SECURITIES INDUSTRY REGISTRATION (THE "IAR APPLICATION") SEEKING REGISTRATION OF LORD AS AN INVESTMENT ADVISER REPRESENTATIVE OF ICC IN MASSACHUSETTS. ON OR ABOUT JUNE 3, 2014, ICC SUBMITTED TO THE CRD OF FINRA AN APPLICATION FOR SECURITIES INDUSTRY REGISTRATION (THE "BD AGENT APPLICATION") SEEKING REGISTRATION OF LORD AS AN AGENT OF ICC IN MASSACHUSETTS. ON OR ABOUT FEBRUARY 27, 2014, FINRA INITIATED A REGULATORY ACTION AGAINST LORD FOR FAILING TO FILE AN AMENDMENT TO HIS FORM U-4 WITH THE CRD TO DISCLOSE AN OUTSTANDING IRS TAX LIEN THAT WAS FILED AGAINST LORD ON AUGUST 12, 2010. THE LIEN WAS NOT REPORTED TO THE CRD BY LORD UNTIL FEBRUARY 19, 2014. ON FEBRUARY 27, 2014, LORD ENTERED INTO AN ACCEPTANCE, WAIVER & CONSENT WITH FINRA IN WHICH MR. LORD WAS SUSPENDED FOR TWENTY (20) DAYS AND FINED $5,000. THE ABOVE-STATED DISCLOSURE INCIDENTS AGAINST MR. LORD HAVE MOVED THE DIVISION TO PLACE CONDITIONS ON HIS REGISTRATION AS AN AGENT OF ICC.

Date: February 27, 2014
Category: Regulatory

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