Keven J. Jedlicka, of Baltimore, Maryland, a stockbroker formerly registered with Chaplin Davis, has been suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he traded in customer accounts on an unsuitable basis. Letter of Acceptance, Waiver and Consent, No. 2016047659701 […]
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Tag Archives: Chaplin Davis
Chaplin Davis Stockbroker Suspended For Suitability
January 10, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations | 0 Comments
Stockbroker Suspended Unauthorized Trading of Dead Customer’s Account
August 08, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Unauthorized Trading | 0 Comments
Alexander P. Brown, III, of Baltimore, Maryland, a stockbroker with Chaplin Davis, was fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized discretionary trading in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2015047883501 (July 22, 2016). […]
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