Tag Archives: Richard Albert Seefried

Spencer Edwards Stockbroker Admits Misconduct

Richard Albert Seefried of Centennial Colorado a stockbroker formerly employed by Spencer Edwards Inc. has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment recommendations to customers concerning convertible notes. Letter of Acceptance Waiver and Consent […]

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