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NFP Financial Broker Suspended For Outside Business Activities

February 24, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | 0 Comments

Karen Hajek, of Saint Petersburg, Florida, a stockbroker with Cetera Financial Specialists, LLC, was recently fined $15,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after Hajek consented to findings that she engaged in multiple undisclosed outside business activities. Letter of Acceptance, Waiver and Consent, […]

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NFP Financial Broker Suspended For Outside Business Activities

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