Tag Archives: James W. Stowell

Baird Stockbroker Suspended For Unauthorized Transaction

June 30, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

James W. Stowell of Peoria Illinois a stockbroker formerly employed by Robert W. Baird Co. Incorporated has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized transactions in a customer’s account. Letter of Acceptance Waiver and Consent […]

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