Tag Archives: James S. Fleming III

Investors Capital Stockbroker Suspended

James S. Fleming III, of Worcester, Massachusetts, a stockbroker formerly registered with Investors Capital Corp., has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unsuitable transactions in the customer’s account. Letter of Acceptance, Waiver […]

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