Scott faced a FINRA investigation into potential undisclosed outside business activities.
John Lee Scott (CRD:2407619) was registered as a broker with LPL Financial from 2017 until 2019 and from 2013 until 2015. Scott was previously registered as a broker with Financial Telesis Inc. from 2009 until 2013.
Scott has one disclosure on his BrokerCheck report.
April 2021 Regulatory Judgment
- Initiated By: FINRA
- Allegations: Without admitting or denying the findings, Scott consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into potential undisclosed outside business activities and private securities transactions.
- Resolution: Acceptance, Waiver & Consent (AWC)
- Sanctions: Bar
- Registration Capacities Affected: All Capacities
- Duration: Indefinite
- Start Date: 4/22/2021
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