The allegations read: Without admitting or denying the findings, bennett consented to the sanction and to the entry of findings that he failed to provide information and documents requested by finra in connection with its investigation in response to an amended form u5 filed by his former member firm that identified a customer complaint alleging that he had conducted trading in her account without her permission. The findings stated that finra's investigation of bennett expanded to include additional claims by other customers alleging similar misconduct, as well as allegations of unsuitable recommendations.
