Tag Archives: Jonathan R. Belden

FINRA Fines Merrill Lynch Broker For Unauthorized Trading

April 18, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Jonathan R. Belden of Oakland California is a stockbroker formerly registered with Merrill Lynch Pierce Fenner and Smith Inc. who has been fined $10,000.00 and suspended for sixty days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he mismarked customer order tickets and exercised […]

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