Tracy Rae Turner, of Carlsbad, California, a stockbroker formerly associated with Colorado Financial Service Corporation, has been fined $272,879.04 and barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officers Default Decision containing findings that Turner effected unauthorized private securities transactions and made […]
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Tag Archives: Colorado Financial Service Corporation
Colorado Financial Service Stockbroker Expelled for Selling Away
April 20, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Colorado Financial Service Stockbroker Charged With Selling Away
November 18, 2016 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Tracy Turner, of Carlsbad, California, a stockbroker previously registered with Colorado Financial Service Corporation, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Turner effected unauthorized private securities transactions or selling away, and made misrepresentations to customers in connection with such. Department of Enforcement v. Tracy Turner, No. 2015047883501 (Nov. 3, 2016). […]
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