Tag Archives: David Apted

Smith Moore Stockbroker Suspended For Selling Away

November 01, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David Apted of Clayton, Missouri, a stockbroker formerly registered with Smith, Moore & Co., has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Apted, inter alia, sold away from his firm relating to customers’ investments in a venture-capital […]

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