Evidently, it slipped the mind of one New York stockbroker that dead men can’t trade. Eric Anthony Foster, a stockbroker with Halcyon Cabot Partners Ltd., has been fined $10,000 by the Financial Industry Regulatory Authority (FINRA) and suspended for three months for unauthorized trading in the account of a deceased customer while he worked for […]
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Tag Archives: Maxim Group
Stockbroker Fined $10,000 for Trading in Account of Deceased Customer
February 27, 2012 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments