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Alton Securities Chief Executive Officer Suspended for Failure to Supervise

February 23, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Mutual Fund Fraud | 0 Comments

Matthew D. Maberry, of Alton, Illinois, was fined $10,000.00, suspended from association with any Financial Industry Regulatory Authority (FINRA) member in any capacity, and ordered to pay restitution of $38,445 after consenting to findings that he failed to supervise non-traditional exchange traded funds and made unsuitable recommendations to customers. Letter of Acceptance, Waiver and Consent, […]

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Alton Securities Chief Executive Officer Suspended for Failure to Supervise

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