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Posts tagged "Unauthorized Activity"

Kelly Marvin Barnett - Unauthorized Discretion, Unit Investment Trusts - Boca Raton, Florida FINRA Abribration Attorney

Unauthorized Discretion, Unsuitable Investment - Unit Investment Trust - South Florida, including Deerfield Beach, Boca Raton and Lake Worth FINRA Arbitration Attorney.

Kelly Marvin Barnett (CRD #4127608, Sarasota, Florida):

Brian John Hussey, Jr. - Unsuitable Trade Recommendations and Unauthorized Discretion

Unsuitable Trade Recommendations and Unauthorized Discretion - South Florida, including Boca Raton and West Palm Beach, FINRA Arbitration Attorney.

Brian John Hussey Jr. (CRD #4640067, Zephyrhills, Florida)

Unlawful Reimbursement of Customer Losses - Boca Raton, Florida FINRA Arbitration and Litigation Attorney

Unlawful Reimbursement of Customer Losses - Boca Raton, Florida FINRA Arbitration and Litigation Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

WFG Investments, Inc. - Fort Lauderdale, Florida Unsuitable, Unauthorized Discretion and Outside Business Activity FINRA Arbitration Attorney

WFG Investments, Inc. - Fort Lauderdale, Florida Unsuitable, Unauthorized Discretion and Outside Business Activity FINRA Arbitration Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Dawson James Securities, Inc. - Boca Raton, Florida Broker/Dealer Sales Practice Violations FINRA Arbitration and Litigation Attorney

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Corporate and High Yield Bonds - South Florida Corporate and High Yield Bond Breach of Fiduciary Duty and Unsuitability FINRA Arbitration and Litigation Attorney

Corporate and Corporate High Yield Bond Breach of Fiduciary, Unsuitability, Churining and Unauthorized Purchase and Sale FINRA Arbitration, Litigation and Probate Attorney:

Donald Richard Dahn - Florida Financial Abuse, Misappropriation and Unauthorized Loan FINRA Arbitration and Litigation Attorney

Florida Broker/Dealer and Account Executive Negligent Supervision and Account Executive Financial Misappropriation, Unauthorized Loan and Elder Abuse FINRA Arbitration, Litigation and Probate Estate Attorney.

Timothy John Coyle - South Florida Forgery and Unauthorized Activity FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer and Account Executive Negligent Supervision, Forgery and Unauthorized Activity FINRA Arbitration, Litigation and Probate Estate Attorney.

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