Marla Chidsey Roeser of Potomac Maryland is a stockbroker formerly registered with City National Securities Inc. who has been fined ten thousand dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that she failed to supervise the private securities transactions and outside […]
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Tag Archives: David Zier
City National Broker Suspended For Failure To Supervise
February 20, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments