Blake Andrew Gwinn is currently employed as a Broker and/or Investment Adviser at NATWEST MARKETS SECURITIES INC. located at 600 WASHINGTON BOULEVARD, STAMFORD, CT, 06901.
Blake Andrew Gwinn has worked at NATWEST MARKETS SECURITIES INC. since November 06, 2015
Disclosure History
Blake Andrew Gwinn has 1 Disclosure Event(s).
Date: November 17, 2001 Category: Criminal Charges: Felony Disposition: Dismissed Amended Charges: Charge(s) dismissed. Initially, the damage amount when summed together exceeded $200. The arresting officer entered the case as a single charge which in total exceeded $200. However, the court considered it three separate charges which were broken down to 3 counts to include destruction of antennae, windshield wiper, side view mirror, each individual charge amounted to less than $200 resulting in misdemeanor charges once the dollar threshold was reduced. Financial restitution was made and charges were dismissed. Amended Charge Type: MISDEMEANOR Amended Charge Amended Charge Disposition: Dismissed Broker Comment: Note: Action was brought in federal since all courts within the jurisdiction of the District of Columbia are considered Federal courts. Charge was for destruction of property (bending of side & rear view mirror, windshield wiper, and bending of antennae)
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for Blake Andrew Gwinn, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.