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Summit Equities Stockbroker Suspended For Failure To Supervise

November 18, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Hedge Funds, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments

Rembert D. McNeer III, of Parsippany, New Jersey, a stockbroker formerly registered with Summit Equities, Inc., was fined $10,000.00 and suspended for one-year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he failed to properly supervise the activity of a Summit Equities registered representative. Letter […]

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Summit Equities Stockbroker Suspended For Failure To Supervise

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