Paul Norman Gershon of Leawood Kansas a stockbroker formerly associated with RBC Capital Markets LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in discretionary trading of customer accounts; conduct violative of FINRA Rules. Letter of […]
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Tag Archives: Paul Gershon
FINRA Suspends RBC Capital Broker For Unauthorized Trading
March 15, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments