Barry John Hartwyk of Long Beach California a stockbroker formerly registered with RBC Capital Markets LLC has been fined $5,000.00 and suspended for fifteen days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that unauthorized trades had been effected in the customer’s investment account by […]
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FINRA Sanctions RBC Stockbroker For Unauthorized Trading
June 24, 2020 | Posted by : Guiliano Law Group | Unauthorized Trading | Comments Off on FINRA Sanctions RBC Stockbroker For Unauthorized Trading
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