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FINRA Sanctions KC Ward CEO For Failure To Supervise

December 18, 2019 | Posted by : Guiliano Law Group | Boilerroom Sales, Failure To Supervise, Investment and Regulatory News | 0 Comments

Louis Ward of Ronkonkoma New York a former owner and Chief Executive Officer of KC Ward Financial has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Ward neglected to adequately supervise three KC Ward stockbrokers who gave customers […]

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FINRA Sanctions KC Ward CEO For Failure To Supervise

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