Patrick Terrell of Mystic, Connecticut submitted a Letter of Acceptance, Waiver and Consent Agreement (AWC) for the purpose of settlement. Without admitting or denying the findings, Terrell was alleged by the Department of Enforcement for the Financial Industry Regulatory Agency (FINRA) to have falsified bank statements.
Terrell first became registered with FINRA as a General Securities Representative (GSR) in March 1998. From 1998 through November, 2011, Terrell acted as a GSR for several FINRA member firms. Beginning November 28, 2011, Terrell was a registered as a GSR through Stifel, Nicolaus, & Co until June 26, 2014. Continue reading →