Tag Archives: Mark Larry Delgadillo

DA Davidson Stockbroker Sanctioned For Unauthorized Trading

March 31, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on DA Davidson Stockbroker Sanctioned For Unauthorized Trading

Mark Larry Delgadillo of Santa Barbara California a stockbroker formerly registered with DA Davidson Co. has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Delgadillo effected unauthorized trades in a customer’s account. Letter of Acceptance Waiver and Consent […]

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