Tag Archives: Saxony Securities

Saxony Stockbroker Suspended For Unauthorized Trading

November 07, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

James Michael Kennedy, of Chicago, Illinois, a stockbroker formerly registered with Saxony Securities, Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected trades in a customer’s account without authorization. Letter of Acceptance, Waiver and Consent, No. 2015047306901 […]

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