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FINRA Fines Securities America Broker For Excessive Trading

December 21, 2018 | Posted by : Guiliano Law Group | Churning, Excessive Trading, Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments

Michael Dennis Jackson of University Place Washington a stockbroker formerly registered with Securities America Inc. has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Jackson engaged in selling away (2) Jackson effected unauthorized trades in […]

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FINRA Fines Securities America Broker For Excessive Trading

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