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Another Waddell Reed Broker Suspended for Unauthorized Trading

January 21, 2016 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading | 0 Comments

Michael D. Rasmovich of Louisville, Kentucky, a stockbroker with Waddell & Reed, was fined $10,000 and suspended from association with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities for two months after consenting to findings that he exercised discretion in eighty customer accounts without prior written authorization from the customers or […]

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Another Waddell Reed Broker Suspended for Unauthorized Trading

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