Tag Archives: Martin Earl Brooks

FINRA Fines Cetera Stockbroker For Unauthorized Trading

March 22, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Martin Earl Brooks of Belton Missouri is a stockbroker formerly registered with Cetera Advisors LLC who has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected trades in customer accounts without their written authorization and mismarked order tickets as […]

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