Sharon Green, Regency Wealth Broker, Suspended by FINRA
Sharon Green (CRD# 1269522), a broker registered with Independent Financial Group, improperly engaged in an outside business activity, according to a recent disciplinary action. MDF Law is investigating the Elm Grove, Illinois-based financial professional, who does business as Regency Wealth Partners, for similar conduct. Investors with concerns about their accounts should reach out for a free consultation.
The below post lays out additional details about Ms. Green’s disciplinary history. This information is based on a February 19, 2025 review of her BrokerCheck profile, a Financial Industry Regulatory Authority record.
FINRA Fined Broker over Outside Business Activity Allegations
On December 9, 2024, FINRA undertook a disciplinary action against Ms. Green. According to a Letter of Acceptance, Waiver, and Consent (# 2023078132201), she violated FINRA rules by improperly participating in an outside business activity. As alleged, the activity involved her provision of consulting services to individuals. Her customers included three of her then-member firm’s customers, “all of whom were seniors.” Her services were “related to estate planning, medical care, family mediation, and budgeting and debt management,” per the Letter. As compensation for these services, she allegedly received a total of approximately $35,000.
According to FINRA, Ms. Green did not provide prior written notice to her member firm before she participated in the business activity. As such, the regulator concluded that she violated FINRA Rules 3270 and 2010. She did not admit to or deny FINRA’s findings, but she did consent to their entry. She also consented to the imposition of two sanctions: a fine of $5,000 and a one-month suspension from associating with any member firm in all capacities.
Understanding Key Securities Industry Rules
FINRA’s disciplinary action against Ms. Green alleges that she violated two industry rules:
- FINRA Rule 3270, which forbids brokers from engaging in business activities outside the scope of their relationship with their member firm, unless they have provided the firm with prior written notice per the firm’s specifications. The AWC Letter notes further that at the time of the alleged conduct, her firm required prior disclosure and pre-approval of proposed outside business activities.
- FINRA Rule 2010, under which brokers must observe high standards of commercial honor and just and equitable principles of trade.
What Is Regency Wealth Partners?
As her BrokerCheck profile reflects, Ms. Green does business under the brand Regency Wealth Partners. That firm’s website features a section describing its services and philosophy. “Our approach is centered around the idea that your ‘why’ is just as important as the ‘how’,” the section reads. “Once we’ve established your goals, we’ll develop a personalized financial plan designed to meet your needs, wants, and lifestyle.”
FINRA: Sharon Green Based in Elm Grove, Wisconsin
Ms. Green launched her career as a broker in 1989, when she joined Blunt Ellis & Loewi. Over the following decades, she worked at firms including Dain Bosworth, Wellington Investments, SII Investments, and Woodbury Financial Services. She joined her most recent member firm, Independent Financial Group, in 2010. She is still based at its Elm Grove, Wisconsin office, according to FINRA. With five years of experience as a broker, she has completed five industry exams, including the Series 72 and the Series 65.
Investors Have Rights. We Defend Them
MDF Law’s seasoned attorneys have recovered more than $100 million in investment losses for the victims of broker fraud. If you have concerns about products or strategies recommended by Sharon Green, contact us to discuss your circumstances. We provide free consultations across the US, and we accept cases on a contingency basis. That means clients only pay a fee if they collect a recovery. You may have a limited window to lodge a claim, so we urge you to avoid delay. Call 800-767-8040 to chat with an attorney today.