Tag Archives: Douglas Keith Ellman

Shearson Broker Suspended By FINRA For Mismarking Orders

October 22, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Douglas Keith Ellman of Boca Raton Florida a stockbroker formerly employed by Shearson Financial Services LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he mismarked thirty-five customers’ order tickets as having been unsolicited when the orders had […]

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