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Lexington Investment Company Broker Suspended For Customer Borrowing

November 25, 2015 | Posted by : Guiliano Law Group | Customer Loans, Failure To Supervise, Investment and Regulatory News | 0 Comments

David Paul Rankin, Jr. of Lexington, Kentucky, a registered representative with Lexington Investment Company, Inc., was fined $5,000 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacities after consenting to findings that he obtained loans from customers in violation of his firm’s policies. Letter of Acceptance, […]

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Lexington Investment Company Broker Suspended For Customer Borrowing

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