Tag Archives: Patrick Jermaine Phillips

FINRA Suspends Baird Broker For Customer Loan

August 13, 2018  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Patrick Jermaine Phillips of Chicago Illinois a stockbroker formerly employed by Robert W. Baird has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based in part on consenting to findings that Phillips entered into unapproved customer loan arrangements. Letter of Acceptance Waiver […]

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