According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Kenneth Tyrell violated securities laws. Mr. Tyrrell was accused of participating in 11 undisclosed private securities transactions with a customer in violation of FINRA rules. He also allegedly engaged in five undisclosed outside business activities, all of which involved the same customer. This was in violation of FINRA rules. In May 2011, Tyrrell allegedly participated in 11 private securities transactions totaling more than $13 million with his customer without providing prior written notice to his firm, UBS. This resulted in his being barred from the industry by FINRA.
According to FINRA records, Kenneth Tyrrell was previously registered with Washington Square Securities in Des Moines, Iowa from March 1994 until March 1995, Merrill Lynch in New York, New York from March 1995 until August 1999, First Union Brokerage Services in Charlotte, North Carolina from August 1999 until October 2000, Wachovia Securities in St. Louis, Missouri from October 2000 until November 2004, Merrill Lynch in Alexandria, Virginia from October 2004 until November 2008, UBS in Vienna, Virginia from November 2008 until September 2016 and Cary Street Partners in Richmond, Virginia from August 2016 until October 2017. He has two customer disputes against him and is not currently registered as a broker.