FINRA Suspends Sharon Green for Alleged Undisclosed OBA

Sharon Green (CRD #: 1269522), a broker registered with Independent Financial Group, has been suspended by FINRA, according to her BrokerCheck record, accessed on January 10, 2025. Read on to learn more about her alleged conduct as a broker.

FINRA Suspension

On December 9, 2024, Sharon Green consented to the entry of findings that she allegedly engaged in an outside business activity without providing prior written notice to her firm, Woodbury Financial.

According to a Letter of Acceptance, Waiver & Consent (AWC), Sharon Green allegedly provided consulting services to several seniors, including three firm clients. These services allegedly related to medical care, family mediation, and financial subjects such as estate planning and debt management.

She allegedly engaged in this outside business activity from January 12, 2018 to May 16, 2019, and received approximately $35,000 in compensation.

The AWC concluded that these allegations constitute violations of FINRA Rules 3270 and 2010.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose any business activities they engage in outside their firm, as well as any compensation they may receive from these activities.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Sharon Green consented to the following sanctions:

• One-month suspension from associating with FINRA members
• $5,000 fine

Her suspension began on January 6, 2025, and will end on February 5, 2025. You can read the full AWC here.

Other Business Activities

Sharon Green’s detailed BrokerCheck page lists the following outside business activities:

• Arbitrator for FINRA
• Teacher of adult education classes for Waukesha County Technical College, Marquette University, and Alverno College
• Notary public
• Director of Regency Wealth Partners, a financial planning business

Background Information

Sharon Green has passed the following exams:

• Government Securities Representative Examination – Series 72
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Sharon Green is a registered broker in nine states and a registered investment adviser in Wisconsin.

She has also worked for the following firms:

• Woodbury Financial Services (CRD#:421)
• SII Investments (CRD#:2225)
• Annex Wealth Management (CRD#:127987)
• Wellington Investment Services (CRD#:23018)
• Dain Bosworth (CRD#:7600)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• Blunt Ellis & Loewi (CRD#:7580)

Kurta Law Can Help

If you worked with Sharon Green and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.