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BRUCE GIBSON KINLOCH

BRUCE GIBSON KINLOCH is currently employed as a Broker and/or Investment Adviser at FAIRVIEW SECURITIES, INC. located at 410 West Ave., Apt. 203, DARIEN, CT, 06820.

BRUCE GIBSON KINLOCH has worked at FAIRVIEW SECURITIES, INC. since March 07, 1994

Disclosure History

BRUCE GIBSON KINLOCH has 1 Disclosure Event(s).

Date: August 14, 2003
Category: Regulatory
Initiated By: NASD
Allegations: NASD RULES 1120(B), 2110 - A MEMBER FRIM, ACTING THROUGH KINLOCH, FAILED TO COMPLY WITH THE FIRM ELEMENT OF NASD'S CONTINUING EDUCATION REQUIREMENT IN THAT THE FIRM FAILED TO ANNUALLY PERFORM AND ADEQUATE EVALUATION OF ITS TRAINING NEEDS, FAILED TO ANNUALLY DEVELOP A WRITTEN TRAINING PLAN OUTLINING THE FIRM ELEMENT PROGRAM FOR EACH RESPECTIVE YEAR, FAILED TO ADMINISTER THE FIRM ELEMENT REQUIREMENT IN ACCORDANCE WITH THE ANNUAL EVALUATION AND WRITTEN PLAN, AND FAILED TO MAINTAIN RECORDS DOCUMENTING THE CONTENT OF THE PROGRAMS AND COMPLETION OF THE PROGRAMS BY COVERED REGISTERED PERSONS.
Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $2,500.00 Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, KINLOCH CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS FINED $2,500, JOINTLY AND SEVERALLY.

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