Tag Archives: Paul S. Plemenos

Merrill Lynch Stockbroker Suspended For Unauthorized Trading

August 17, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Paul S. PlemenosĀ of Sparta, New Jersey, a stockbroker with Merrill Lynch, Pierce, Fenner & Smith Incorporated, was fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unauthorized trading in customer accounts. Letter of Acceptance, Waiver and Consent, No. […]

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