CRD #4347572, Charlotte, North Carolina

March 24, 2025 – An AWC was issued in which Copeland was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Copeland consented to the sanction and to the entry of findings that he participated in 74 private securities transactions without providing prior written notice to, or receive written approval from, his member firm. The findings stated that the transactions involved different securities and 27 individuals, most of which were customers of Copeland’s firm, who collectively invested nearly $11 million. Copeland received at least $173,000 in compensation, including through management, consulting, and recommendation fees. Moreover, Copeland falsely attested on annual compliance attestations that he did not solicit clients or nonclients for involvement or investment in products that were not approved by his firm. The findings also stated that Copeland communicated about securitiesrelated business, including securities offered through his firm and private securities transactions, using communication channels not approved, captured, or maintained by his firm. Copeland falsely attested on firm compliance questionnaires that he only used approved and captured communication channels for communications relating to securities-related business. Nonetheless, Copeland exchanged over 2,250 communications with his firm colleagues, firm customers, other investors, and offering company partners using his private email addresses, text messages sent and received through his private mobile phone, and messages sent and received through online platforms. Copeland’s firm did not capture or maintain the communications, causing it to maintain incomplete books and records. (FINRA Case #2023077756701)