US Edition2023078904101 Kyle J. Charters CRD 6288496 AWC vr.pdf
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2023078904101 Kyle J. Charters CRD 6288496 AWC vr.pdf
In 2022, while associated with ICS, Charters participated in a private securities transaction involving the sale of a limited partnership interest in an offering sponsored by a private equity firm that Charters was hoping to join. Charters participated in the private securities transaction without any notice to ICS. By doing so, Charters violated FINRA Rules 3280 and 2010 and is suspended for six months from associating with any FINRA member and…
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