0001881014-21-000010.txt : 20211104 0001881014-21-000010.hdr.sgml : 20211104 20211104100232 ACCESSION NUMBER: 0001881014-21-000010 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 QUINN,KEVIN,GEORGE, FILED AS OF DATE: 20211103 DATE AS OF CHANGE: 20211104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Tryon Advisors, LLC CENTRAL INDEX KEY: 0001881014 IRS NUMBER: 872164766 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-05663 FILM NUMBER: 211378579 BUSINESS ADDRESS: STREET 1: 122 SEVERN AVENUE CITY: ANNAPOLIS STATE: MD ZIP: 21403 BUSINESS PHONE: 7049262445 MAIL ADDRESS: STREET 1: 6101 CARNEGIE BLVD. STREET 2: #210 CITY: CHARLOTTE STATE: NC ZIP: 28209 MA-I 1 primary_doc.xml MA-I 0001881014 XXXXXXXX Tracy Truchon 7049262445 tracy@firsttron.com N N Kevin George Quinn Y 2 0001881014 First Tryon Advisors, LLC Wye River Group 11-01-2021 Y 867-02606 SUPERVISED 11-01-2021 122 SEVERN AVENUE ANNAPOLIS MD 21403 LOCATED 11-01-2021 0001620291 Wye River Capital, Inc Wye River Group 09-20-1999 N 867-01061 SUPERVISED 09-20-1999 122 SEVERN AVENUE ANNAPOLIS MD 21403 11-2021 First Tryon Advisors, LLC Annapolis MD 21403 Y N Managing Director 11-2011 10-2021 Wye River Capital Incorporated Annapolis MD 21403 Y N President Y 10-2010 Theranostics Health Inc. 15010 Broschart Road Rockville MD 20850 N N Advancing Personalized Medicine through molecular diagnostics Board Director 15 Board member N N N N N N N N N N N Y N N N N Y N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 11-01-2021 Tracy A. Truchon Chief Compliance Officer 6C(4) BarTemporary CivilAdminPenaltyFine 11-17-1999 In the Matter of Kevin G. Quinn, SEC Administrative File No. 3-10098 Administrative Proceeding, File No. 3-10098 450 5th Street Washington DC 20549 Alex Brown & Sons, Inc. Debt - Government OIP alleged violations of Section 17(a) of the Securities Act of 1993, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder for incomplete disclosures of a fee splitting arrangement and false statements about a markup. The SEC, after a hearing on the merits, DISMISSED the proceeding. Decision & Order of Offer Settlement Dismissed Order Initial decision of Administrative Law Judge dismissed the proceedings after a hearing on the merits. Mr. Quinn then submitted an offer of settlement agreeing to not seek his legal fees and agreeing to an evidentiary order entered during the proceeding to be vacated. The initial decision of the Administrative Law Judge dismissing the proceedings then became the final decision of the SEC. Y 09-28-2001