NorthWest Biotherapeutics Inc (NWBO)

[JerryCampbell]

Use FINRA's BrokerCheck option.

https://brokercheck.finra.org/individual/summary/822403

You'll see that Larry Smith's broker registration terminates in 2003. The text under "disclosure" is as follows:


Initiated By

NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT
Allegations
**3/19/2003**CHARGES ISSUED BY NYSE DIVISON OF ENFORCEMENT AND PENDING CHARGE I ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN THAT, ON ONE OR MORE OCCASIONS, HE EFFECTED STOCK TRANSACTIONS IN ACCOUNTS IN WHICH HE AND/OR HIS SPOUSE HAD AN INTEREST SHORTLY BEFORE HIS MEMBER FIRM EMPLOYER WAS TO ISSUE RESEARCH REPORTS WHICH HE HAD PREPARED AND AUTHORED CONCERNING SUCH STOCKS.CHARGE II CAUSED A VIOLATION OF EXCHANGE RULE 472.40(2)(III) IN THAT, ON ONE OR MORE OCCASIONS, HE AUTHORED A RESEARCH REPORT FOR DISTRIBUTION TO THE PUBLIC BY HIS MEMBER FIRM EMPLOYER WHICH RECOMMENDED THE PURCHASE OF A SPECIFIC SECURITY BUT FAILED TO DISCLOSE THAT HE HELD SECURITIES OF THE RECOMMENDED ISSUER. CHARGE III ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN THAT, ON ONE OR MORE OCCASIONS, HE MADE OR CAUSED MISREPRESENTATIONS ON NEW ACCOUNT FORMS IN OPENING ACCOUNTS AT A MEMBER FIRM THAT CONCEALED THE FACT OF HIS EMPLOYMENT AT ANOTHER MEMBER FIRM. CHARGE IV VIOLATED EXCHANGE RULE 407(B) IN THAT HE MAINTAINED ONE OR MORE SECURITIES ACCOUNTS FOR HIMSELF AND/OR HIS SPOUSE AT ANOTHER MEMBER FIRM WITHOUT THE PRIOR WRITTEN CONSENT OF HIS MEMBER FIRM EMPLOYER, AND HE FAILED TO ARRANGE FOR DUPLICATE CONFIRMATIONS AND MONTHLY STATEMENTS FOR SUCH ACCOUNTS TO BE SENT TO HIS EMPLOYER FOR REVIEW.

Resolution Decision
Sanctions Censure
Sanctions Bar