Tag Archives: Anthony Pace

Windsor Street Stockbroker Sanctioned For Failure To Supervise

December 13, 2019  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Anthony Pace of New York New York a stockbroker formerly registered with Windsor Street Capital LP has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he neglected to supervise a stockbroker who executed trades in the accounts of […]

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