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Zipper Stuck Dakota Securities Expelled By FINRA

June 30, 2018 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | 0 Comments

Dakota Securities International Inc. has been expelled from Financial Industry Regulatory Authority (FINRA) membership according to an Office of Hearing Officers Hearing Panel Decision containing findings that the firm failed to supervise its vice president Bruce M. Zipper and enabled Zipper to associate with the firm despite FINRA having disqualified him. Department of Enforcement v. […]

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Zipper Stuck Dakota Securities Expelled By FINRA

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