Tag Archives: Peter J. Neary

Wunderlich Securities Stockbroker Suspended For Unauthorized Trading

November 18, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Peter J. Neary, of Plymouth, Michigan, a stockbroker formerly with Wunderlich Securities, was fined $5,000.00 and suspended by Financial Industry Regulatory Authority (FINRA) after consenting to findings that he effected unauthorized discretionary trades in a customer’s account. Letter of Acceptance, Waiver and Consent, No. 2015044491201 (Nov. 3, 2016). Per the AWC, between July of 2012 […]

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