2023078986501 Kenneth H. Nahrstedt CRD 2096953 AWC lp (2025-1740788399662).pdf

In April 2023, Nahrstedt submitted a written attestation to L.M. Kohn in which he falsely attested that he had spoken to a customer to confirm a $500,000 wire transfer request from the customer's account, when, in fact, he had not done so. By falsifying a written attestation to the firm, Nahrstedt violated FINRA Rule 2010. Additionally, Nahrstedt violated FINRA Rules 4511 and 2010 by causing L.M. Kohn to maintain inaccurate books and records. Nahrstedt is suspended for two months and fined $5,000.

2022076855801 IBN Financial Services, Inc. CRD 42360 & Timothy E. Evans CRD 6259284 AWC lp (2025-1740788399808).pdf

From January 2019 through February 2021, IBN and Evans failed to reasonably supervise, and IBN failed to enforce written policies and procedures reasonably designed to achieve compliance with Regulation Best Interest (Reg BI) with respect to, a registered representative’s recommendations of alternative investments to two retail customers. Accordingly, IBN and Evans violated FINRA Rules 3110 and 2010, and from June 30, 2020 through February 2021, IBN willfully violated Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 and violated FINRA Rule 2010 by failing to comply with the Compliance O
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