Tag Archives: Emily Michelle Thompson\

Raymond James Financial Services Stockbroker Barred In Investigation

Emily Michelle Thompson, of Wauseon, Ohio, a stockbroker formerly associated with Raymond James Financial Services, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that she failed to cooperate with FINRA in an investigation into allegations of unauthorized trading. Letter of Acceptance, […]

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