Kevin Andrew Hobbs (CRD #4267482, Wellington, Florida)

An AWC was issued in which Kevin Andrew Hobbs (CRD #4267482) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Hobbs consented to the sanction and to the entry of findings that he provided an inaccurate response to FINRA’s request for documents and information in connection with its investigation of allegations that he traded away from his member firm in a customer’s third-party brokerage account. The findings stated that FINRA requested Kevin Andrew Hobbs identify all individuals for whom he had effected a securities transaction in an account other than at his firm. This information was material to FINRA’s investigation. Hobbs provided an inaccurate response to FINRA that failed to identify at least one other individual whose account he had traded away from his firm. Hobbs also failed to disclose this information to the firm when he was questioned on this issue in connection with its internal investigation. The findings also stated that Kevin Andrew Hobbs participated in numerous private securities transactions without prior written disclosure to, or approval from, his firm.  (FINRA Case #2021073069401)