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Waddell Reed Stockbroker Barred By Regulator

May 05, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

Raul Enrique Jacobs, of Orland Park, Illinois, a stockbroker formerly registered with Waddell & Reed, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after failing to provide FINRA with information concerning his activities. Letter No. 2016050202901 (Feb. 14, 2017). FINRA later sanctioned Jacobs for failing to […]

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Waddell Reed Stockbroker Barred By Regulator

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