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Shearson Financial Broker Fined For Mismarking Orders

November 30, 2018 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | 0 Comments

Philip Jay Patlis of Boca Raton Florida a stockbroker currently registered with Shearson Financial Services 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 Patlis falsely represented that transactions executed in customer accounts were not solicited. Letter of […]

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Shearson Financial Broker Fined For Mismarking Orders

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