Lincoln Financial Advisor Barred By Regulator
Charles A. Black of Fort Wayne Indiana a former Lincoln Financial Advisors Corporation registered representative has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to reply to FINRA’s request for information. Case No. 2017053433601 (July 28, 2017).
According to FINRA Public Disclosure, Black was suspended by FINRA on May 19, 2017. Black reportedly failed to request that his suspension be terminated by July 27, 2017 – three months from the time that he was provided a notification about his suspension. Consequently, Black was automatically barred by FINRA in all capacities on July 28, 2017.
Subsequently, Black’s securities registration was revoked by Maryland Division of Securities according to a Final Order of Revocation of Agent and Investment Adviser Registration citing FINRA’s permanent barring of Black from the securities industry. Case No. 20170827 (Nov. 3, 2017).
Prior to the regulatory actions, Black was discharged by Lincoln Financial Advisors on January 31, 2017 founded on accusations that he possibly failed to make required regulatory disclosures concerning his past transgressions.
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