Tag Archives: Halcyon Cabot Partners Ltd.

Andrew Garrett Named In Customer Churning Claim

Wayne M. Raymond, of New York, New York, a former stockbroker with Andrew Garrett Inc., has been subject to a customer initiated investment related arbitration claim on February 12, 2015, which was settled for $8,600.00 in damages based upon the customer’s allegations that Raymond effected excessive and unauthorized trades in the customer’s investment account. FINRA […]

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Stockbroker Fined $10,000 for Trading in Account of Deceased Customer

February 27, 2012  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Evidently, it slipped the mind of one New York stockbroker that dead men can’t trade. Eric Anthony Foster, a stockbroker with Halcyon Cabot Partners Ltd., has been fined $10,000 by the Financial Industry Regulatory Authority (FINRA) and suspended for three months for unauthorized trading in the account of a deceased customer while he worked for […]

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