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Stone Suspended For Failure to Supervise Stoner Salesman

May 05, 2017 | Posted by : Guiliano Law Group | 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 representative’s private securities transactions. Letter of Acceptance, Waiver […]

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Stone Suspended For Failure to Supervise Stoner Salesman

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