0001881014-23-000024.txt : 20231127 0001881014-23-000024.hdr.sgml : 20231127 20231127103439 ACCESSION NUMBER: 0001881014-23-000024 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: QUINN,KEVIN,GEORGE, FILED AS OF DATE: 20231127 DATE AS OF CHANGE: 20231127 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-05663 FILM NUMBER: 231438622 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: SUITE 210 CITY: CHARLOTTE STATE: NC ZIP: 28209 MA-I/A 1 primary_doc.xml MA-I/A 0001881014 XXXXXXXX Ted Vogtman 973-618-9509 tvogtman@alternativereg.com Y 0001881014-22-000004 N Kevin George Quinn N 1 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 11-2021 First Tryon Advisors, LLC CHARLOTTE NC 28209 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 Y 11-27-2023 Kimberly McManus President, Alternative Regulatory Solutions LLC 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 This matter involves a Federal income tax lien for the 2021 tax year. The amount due was not resolved until recently and is no longer in dispute, and Mr. Quinn has worked out a payment arrangement with the Internal Revenue Service and has been making payments to the IRS. He anticipates payment being completed by April 2024. Mr. Quinn had filed extensions for the filing of his 2021 returns due to a combination of factors including chronic illness, substantial cost of uninsured repairs to his residence occasioned by Hurricane Ian in September 2022 and protracted analysis by tax accountants resulting in a substantially higher calculation of capital gains tax than had been anticipated 6M 4853367.11 Internal Revenue Service Tax 05-15-2023 Other Civil Court Circuit Court For Queen Anne's County - Civil C-17-JG-23-000112 200 N. Commerce Street Centreville County MD 21617 Internal Revenue Service vs. KEVIN QUINN, et al.