Tag Archives: Laurence M. Rothstein

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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