According to his most recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Jeffrey Diehl was accused of participating in undisclosed private securities transactions involving $500,000 of purchases of a private offering by three firm customers. Diehl, who was registered with LPL at the time, allegedly provided false attestations to the firm about those private securities transactions. This is against FINRA rules and LPL internal firm policies, and for this misconduct, Diehl was fined $10,000 and suspended from association with any FINRA member firm in all capacities for a period of nine months. According to public record with FINRA, Jeffrey Diehl was previously registered with Prudential Securities Inc in New York, New York from April 1993 until June 1999, Morgan Stanley in Purchase, New York from June 1999 until May 2002, Joseph Gunnar & Co. in New York from March 2003 until September 2003 and LPL Financial in Boston Massachusetts from July 2015 until June 2016. He has one customer dispute pending against him and he is currently not registered within the industry.
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