Tag Archives: Liberty Tree Advisors

Stone Suspended For Failure to Supervise Stoner Salesman

May 05, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David K. Stone, of Action, Massachusetts, a stockbroker formerly registered with Liberty Tree Advisors, LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that he failed to supervise a firm representativeā€™s private securities transactions. Letter of Acceptance, Waiver […]

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