The Financial Industry Regulatory Authority (FINRA) has barred former UBS broker Kenneth S. Tyrrell for participating in 11 undisclosed private securities transactions and engaging in five undisclosed outside business activities.
The regulator alleges that Kenneth Tyrrell engaged in undisclosed trades worth around $13 million. According to FINRA’s letter of acceptance, waiver and consent, Tyrrell did not give prior notice to UBS about the trades.
Kenneth Tyrrell Terminated from UBS
Tyrrell started his career in the securities industry in 1994 and worked at several firms before joining UBS Financial Services in 2008. In August 2016, Tyrrell was terminated from UBS. He then when to work for Cary Street Partners, where was terminated earlier this year.
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