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2026900000201 Howard Crockett III CRD 3022729 AWC ks.pdf

From September 2024 through September 2025, Crockett engaged in an outside business activity without disclosing the activity to the firm he was associated with during that period. Crockett's outside business consulting activity included, among other things, brokering a loan and a health insurance policy for an outside company, whose owner was a customer of NYLIFE. As a result, he violated FINRA Rules 3270 and 2010 and is suspended for two months in all capacities and fined $5,000.