Tag Archives: oss Sinclaire & Associates LLC

Owensboro Kentucky Stockbroker Barred In Investigation

September 09, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Robert S. Gleason, Sr., of Owensboro, Kentucky, a stockbroker with Ross, Sinclaire & Associates, LLC, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he obstructed a FINRA investigation into allegations of his unauthorized trading in customer accounts. Letter of Acceptance, Waiver and […]

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