Tag Archives: Steve Baptist

Joseph Gunnar Stockbroker Sanctioned For Unauthorized Trading In Dead Client’s Account

August 16, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Steve Baptist of New York New York a stockbroker registered with Joseph Gunnar Co. 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 (1) Baptist executed unauthorized trades in customers’ accounts and (2) Baptist exercised discretion in customer […]

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