Glen Edward Smith Jr. (CRD #1023145, Registered Principal) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2011028081101. Smith was registered with FINRA at Capstone Partners, L.C., from April 1999 to March 2011.
Without admitting or denying the allegations, Smith consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests to appear and testify regarding information needed regarding his disclosed outside business activity, and his involvement in its sale of the entity’s collateralized notes. The findings stated that Smith’s failure to respond impeded FINRA’s investigation and prevented FINRA from completing its regulatory responsibility to fully investigate potential rule violations.
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