Tag Archives: Michael Thomas Lee

FINRA Sanctions Kestra Stockbroker For Outside Activities

Michael Thomas Lee of Darien Connecticut a stockbroker formerly registered with Kestra Investment Services LLC has been fined $12,500.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that (1) Lee participated in the Origin Fund as an outside business activity without disclosing […]

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