FINRA

Respondent Parker failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

letter

Suspension

All capacities

Indefinite

Continues until required payment is made or discharged.

3/27/2018

Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554, Respondent Parker is suspended on March 27, 2018, for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

FINRA

RESPONDENT PARKER FAILED TO RESPOND TO FINRA REQUEST FOR INFORMATION.

LETTER

Bar (Permanent)

All Capacities

Indefinite

3/23/2015

PURSUANT TO FINRA RULE 9552(H) AND IN ACCORDANCE WITH FINRA'S NOTICE OF SUSPENSION AND SUSPENSION FROM ASSOCIATION LETTERS DATED DECEMBER 18, 2014 AND JANUARY 12, 2015, RESPECTIVELY, ON MARCH 23, 2015, PARKER IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY. RESPONDENT 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 ANY CAPACITY.

Parker was named in a customer complaint that asserted the following causes of action: fraud, breach of fiduciary duty, unsuitability, breach of contract, negligence, negligent supervision, breach of Georgia's Blue Sky Laws, breach of Georgia's Fair Practices Act, and violation of Georgia's Racketeer Influenced and Corrupt Organizations (RICO) Act.

$2,145,000.00

The claims against Parker were bifurcated from FINRA Arbitration Case No. 14-02211 and proceeded in FINRA Arbitration Case No. 15-02953.