Michael Jason Collins of Chicago Illinois a stockbroker formerly registered with Robert W. Baird Co. Incorporated has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Collins sold away from his securities broker dealer employer. Letter of Acceptance Waiver […]
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Baird Stockbroker Sanctioned For Private Securities Transactions
November 24, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments