FINRA Suspends 25+ Representatives in February 2018

More than two dozen brokers and/or investment advisers were reported as suspended from association Financial Industry Regulatory Authority member firms in February 2018, according to FINRA’s list of disciplinary actions issued last month. The below individuals have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s suspensions; they have not admitted to or denied the alleged conduct. Suspensions may apply to association in a principal capacity or all capacities. Some of these sanctions may have been lifted before or since FINRA’s report was released last month. Furthermore, the fines listed below may not account for the full sums paid by the sanctioned representatives; some may have been ordered to pay restitution and/or disgorgement in addition to fines. Visit FINRA’s disciplinary action records for more information. Name Current/Former Employers Length of Suspension Fines paid Joseph Abbate Wells Fargo Clearing Services…

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