Tag Archives: William A. Sloane

Buell Securities Corp Broker Suspended for Unauthorized Trading

November 25, 2015  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

William A. Sloane of Glastonbury, Connecticut, a registered representative with Buell Securities Corp., was fined $5,000 and suspended from association with any Financial Industry Regulatory Authority (FINRA) member in all capacities for twenty days after engaging in unauthorized discretionary trading in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2014042924501 (Nov. 3, 2015). According […]

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