{"id":10201,"date":"2021-10-07T15:31:32","date_gmt":"2021-10-07T19:31:32","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10201"},"modified":"2021-10-07T15:31:32","modified_gmt":"2021-10-07T19:31:32","slug":"finra-bars-john-edgar-simmons-jr-after-allegations-of-selling-away","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-john-edgar-simmons-jr-after-allegations-of-selling-away\/","title":{"rendered":"FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10202 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/John-Edgar-Simmons.jpg\" alt=\"John Edgar Simmons, Jr. (CRD: #4878890) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. He was previously employed with Investors Capital Corp. (CRD#:30613) of Pensacola, FL, LPL Financial in McMinnville, TN, and Edward Jones (CRD#:250), also of McMinnville. He has been in the industry since 2005.  LPL terminated Simmons employment and filed a Form U5 with FINRA on 9\/17\/2020 indicating his discharge from the firm. The stated reason for his discharge was the result of an internal review investigating Simmons involvement in a private securities transaction. He neither notified the firm nor sought permission.  During the course of FINRA\u2019s investigation, staff sent Simmons a letter requesting he supply information and documentation related to the allegations in the Form U5. FINRA staff sent the letter on 02\/24\/2021. Simmons\u2019 attorney responded by letter on 3\/9\/2021, acknowledging receipt of the FINRA request and indicating that he would not provide any information now or in the future. His denial violates FINRA Rules 8210 and 2010, and led to a letter of Acceptance, Waiver &amp; Consent (AWC). The letter includes a bar on any involvement with a FINRA member in any capacity.\u00a0\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/John-Edgar-Simmons.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/John-Edgar-Simmons-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>John Edgar Simmons, Jr. (CRD: #<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4878890\" target=\"_blank\">4878890<\/a>) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. He was previously employed with Investors Capital Corp. (CRD#:30613) of Pensacola, FL, LPL Financial in McMinnville, TN, and Edward Jones (CRD#:250), also of McMinnville. He has been in the industry since 2005. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-john-edgar-simmons-jr-after-allegations-of-selling-away\/#more-10201\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>John Edgar Simmons, Jr. (CRD: #4878890) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. He was previously employed with Investors Capital Corp. (CRD#:30613) of Pensacola, FL, LPL Financial in McMinnville, TN, and Edward Jones (CRD#:250), also of McMinnville. He has been in [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[],"class_list":["post-10201","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars John Edgar Simmons, Jr. After Allegations Of Selling Away<\/title>\n<meta name=\"description\" content=\"John Edgar Simmons, Jr. is a former registered broker and insurance advisor whose last known employer was LPL Financial of Gulf Breeze, FL.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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