Tag Archives: KMS Financial Services Inc.

KMS Broker Caught By FINRA Engaging In Outside Business Activities

John Andrew Kasel of Scottsdale Arizona a stockbroker formerly employed by KMS Financial Services Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unapproved outside business activities while registered with the firm. Letter of Acceptance […]

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Edward Jones Broker Suspended For Unauthorized Trading

June 08, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Laurence M. Rothstein, of Cumming, Georgia, a stockbroker formerly registered with Edward Jones, has been fined $10,000.00 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 customer accounts and entered false customer account information into his firm’s records […]

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