Jeremy Tintle Sanctioned for Unauthorized CTE Partnership Transaction

Jeremy Tintle is barred from associating with securities industry firms in any capacity due to a settlement he agreed upon with the Financial Industry Regulatory Authority (FINRA) in connection with FINRA’s claim that Tintle sold unapproved securities.

Tintle sold investments in CTE without the approval of Tintle’s firm, Morgan Keegan & Company Inc., according to FINRA. CTE was a limited partnership formed to invest substantially all of its assets in a master fund, according to the settlement. Tintle proposed to Morgan Keegan that the firm approve CTW for sale through the firm in June 2007, according to FINRA. However, Morgan Keegan never approved the sale of CTE through its firm.

Tintle sold to one of his Morgan Keegan customers an interest in CTE even though it was unapproved by Morgan Keegan, according to the settlement. Tintle also failed to give notice to his firm that he sold an interest in CTE, according to FINRA.

The Peiffer Rosca securities attorneys often represent investors who lose money as a result of Ponzi schemes, investment fraud, or stockbroker misconduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of investment fraud or misconduct may contact the securities lawyers at Peiffer Rosca, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1234 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


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