FINRA Bars Jan Ernest Helen for Refusing to Cooperate in Investigation Relating to Missing Customer Funds

Jan Ernest Helen, of Denver, Colorado, submitted an AWC in which he was barred from association with any FINRA member in any capacity. Helen was registered with Janco Partners, Inc. from 1996 through September 2014.  Without admitting or denying the findings, Helen consented to the sanction and to the entry of findings that he failed and refused to appear for FINRA on-the-record testimony in connection with an investigation into his possible conversion or misuse of investor funds. The findings stated that Helen, through counsel, informed FINRA that he would not appear for testimony on the scheduled date or at a future date. (FINRA Case #2014042231401)

In 2012, FINRA sanctioned Helen for misconduct relating to a private placement offering and Janco’s failure to have a reasonable supervisory system for the sale of private placements.  Helen now faces even more serious allegations involving possible theft of customer funds.

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