Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Tyler (Tyler), previously associated with American Trust Investment Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Tyler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 16, 2024.
Without admitting or denying the findings, Tyler consented to the sanctions and to the entry of findings that he falsified documents relating to two senior customers by electronically signing both customers’ names to forms and, for one of the customers, reused signature pages and added false dates to signature pages. The findings stated that as a result, Tyler caused his member firm’s books and records to be inaccurate.
