FINRA barred Kevin James Lee, formerly of Martin Nelson & Co, Inc. in Lake Oswego, Oregon, for failing to provide requested documents and information in connection with FINRA's investigation into payments Lee received from a firm customer and whether this constituted an undisclosed business activity.
The findings state that in 2017, FINRA began an investigation to determine whether Lee (CRD #2316331) engaged in an undisclosed business activity, requesting information and documents from Lee as part of the examination process. Investigators wrote that by March 2018, Lee had provided partial but incomplete responses, with FINRA finding that Lee failed to provide the requested material and thus failed to substantially comply with investigators' requests.
When Lee's attorney subsequently informed FINRA that Lee would not provide his tax returns in connection with the investigation, FINRA determined that Lee had refused to produce information and documents and thus barred him from the industry.
Lee's BrokerCheck report lists self-employment in Corvallis, Oregon, as an insurance agent, and an instructional position previously held with Oregon State University, teaching finance.
Prior to joining Martin Nelson & Co in 2015, Lee was associated with Capital Financial Services of Corvallis (2015) and KMS Financial Services (2003-2014).
If you have invested with Kevin James Lee or with any broker or financial adviser who has engaged in an undisclosed business activity, and to whom you have paid fees, commissions, or other expenses that were harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.