Tag Archives: Paul Gershon

FINRA Suspends RBC Capital Broker For Unauthorized Trading

March 15, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

Read More »