Tag Archives: Van Clemens Co. Inc.

Van Clemens Stockbroker Sanctioned For Unauthorized Trading

Peter Douglas Monson (also known as Pete Monson) of Minneapolis Minnesota a stockbroker currently registered with Van Clemens Co. Incorporated has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that the stockbroker effected unauthorized and inappropriate transactions in Van […]

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FINRA Sanctions Van Clemens For Failure To Supervise

Van Clemens Co. Inc. of Minneapolis Minnesota has been censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon accusations that the firm failed to supervise its business practices with a view towards protecting against excessive trading by Van Clemens stockbrokers in customer accounts. Letter of Acceptance Waiver and Consent No. 2017053162101 (Aug. […]

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