John E. Pelletier, of Wauwatosa, Wisconsin, a stockbroker registered with BMO Harris Financial Advisors Inc., has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Pelletier engaged in unauthorized trading in a customer’s retirement account. Department of Enforcement v. John Pelletier, Extended…
John E. Pelletier of Wauwatosa, Wisconsin, a stockbroker registered with BMO Harris Financial Advisors Inc., is the subject of an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Pelletier based upon allegations that Pelletier engaged in unauthorized trading in the individual retirement account of a customer…