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2019062357402 David Patrick Beston CRD 5296215 AWC sl (2020-1607905195029).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062357402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Patrick Beston Former Registered Representative CRD No. 5296215 Pursuant to FINRA Rule 9216, Respondent David Patrick Beston submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

Wendy Norcross Comment On Regulatory Notice 20-34

I am a suburban daughter who watched and felt helpless in stopping siblings from financially exploiting my parents. I had POA and was their health care agent. I warned their out of state financial advisor that my parents were targets of financial exploitation. Less than three months later, the advisor facilitated over 300K being diverted from my mother as an inherited IRA due to my fathers passing - the beneficiary designation was changed by the siblings, to the siblings, 9 days before my fathers death. My father had Parkinson's and was cognitively impaired - my mother had Alzheimers.