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Rep Violated Reg BI With Excessive Trading in Older Clients' Accounts: FINRA
News January 16, 2025 at 03:03 PM
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What You Need To Know
- The rep was suspended for five months and ordered to pay more than $27,000 in restitution.
- Two of the clients were seniors who opened a joint account.
- The rep also made 148 trades in four customers' accounts without written authorization, FINRA says.
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