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Concorde Ultimately Sanctioned By FINRA For Failure To Supervise

July 29, 2020 | Posted by : Guiliano Law Group | Failure To Supervise, Ponzi Schemes, Securities Arbitration Claims | Comments Off

Concorde Investment Services and its Chief Compliance Officer Kimberlee Elizabeth Levy of Livonia Michigan have been sanctioned by Financial industry Regulatory Authority (FINRA) based upon findings that they failed to supervise a stockbroker who enabled a disqualified stockbroker to effect trades in the accounts of Concorde customers. Letter of Acceptance Waiver and Consent No. 2018060577602 […]

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Concorde Ultimately Sanctioned By FINRA For Failure To Supervise

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