FINRA

Respondent Jefferson failed to respond to FINRA requests for information.

Letter

Bar (Permanent)

All capacities

Indefinite

9/27/2024

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated June 24, 2024 and July 18, 2024, respectively, on September 27, 2024, Jefferson is barred from association with any FINRA member in all capacities. Jefferson failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in all capacities.

Tennessee Securities Division

The Respondent engaged in dishonest and unethical business practices as a broker-dealer agent by violating FINRA rule 8210 with respect to any customer, transaction, or business in the State of Tennessee. The Respondent engaged in dishonest and unethical business practices as a broker-dealer agent by failing to provide information requested by the Division pursuant to the Act and Rules. The Respondent engaged in dishonest and unethical business practices as an investment adviser representative by failing to provide information requested by the Division pursuant to the Act and Rules.

AEGIS CAPITAL CORP.

Discharged

The Registered Representative ("RR") received a written request for information pursuant to FINRA Rule 8210 on or about April 11, 2024, which was responded to. A follow up request was issued to the RR on or about April 23, 2024 with a courtesy copy sent to the firm. The RR has been unresponsive to calls and emails from the firm as attempts to status his response.

Claimant alleges her husband and advisor misappropriated funds from her accounts.

AMERIPRISE FINANCIAL SERVICES, LLC

Discharged

Registered representative terminated for impermissible use of account login credentials for one client, his spouse