Tag Archives: Thomas Lawrence

Regulator Bars Ameritas Broker For Unauthorized Loan

October 03, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Thomas Lawrence, of Chapel Hill, Tennessee, a stockbroker formerly registered with Ameritas Investment Corp., has been fined $5,000.00, required to provide $41,332.65 in restitution, and was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Offer Accepting Offer of Settlement containing findings that Lawrence entered into an […]

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Ameritas Broker Charged With Unauthorized Trading

August 02, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

Thomas Lawrence, of Chapel Hill, Tennessee, a stockbroker formerly registered with Ameritas Investment Corp., has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he borrowed funds from a customer in violation of the firm’s policies. Department of Enforcement v. Thomas Lawrence, No. 2016051945101 (July 27, 2017). According to the Complaint, […]

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