Tag Archives: Paul Michael Mallory

Concorde Stockbroker Sanctioned For Failure To Supervise

November 24, 2019  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Paul Michael Mallory of Livonia Michigan a stockbroker formerly registered with Concorde Investment Services LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity founded on findings that (1) Mallory neglected to adequately supervise the recommendations of a stockbroker to ensure that those recommendations […]

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Concorde Investment Sued For Failure To Supervise

November 28, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Paul Michael Mallory, of Livonia, Michigan, a stockbroker registered with Concorde Investment Services, is the subject of a customer initiated investment arbitration claim, where the customer has sought damages based upon accusations that Mallory failed to supervise floating rate note transactions effected in the customer’s account from 2014 to 2016. Financial Industry Regulatory Authority (FINRA) […]

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