Archive

Tag Archives: Mark Larry Delgadillo

DA Davidson Stockbroker Sanctioned For Unauthorized Trading

March 31, 2021 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | Comments Off

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 […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

DA Davidson Stockbroker Sanctioned For Unauthorized Trading

For a Free Evaluation of Your Claim

Call Us Toll Free At:

(877) SEC-ATTY

All Inquires Are Confidential.

See Important Disclaimer

Categories