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FINRA Suspends Rep Over Excessive Trades in Senior Client's Account
News February 07, 2025 at 02:20 PM
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What You Need To Know
- The trading resulted in high turnover rates and cost-to-equity ratios that exceeded traditional guideposts.
- The excessive trading also led to significant losses, FINRA says.
- The rep was registered with FINRA through an association with Spartan Capital Securities.
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