Tag Archives: BioChemics Inc.

Ameriprise Financial Services Stockbroker Suspended For Private Securities Transactions

William Wesley Marshall of Plano, Texas, a stockbroker for Ameriprise Financial Services Inc., was fined $10,000.00 and suspended for fifteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2012033291204 (Feb. […]

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