FINRA Bars Brokers Who Wronged Elderly Clients

January 6, 2020

Source: ThinkAdvisor.com | By Jeff Berman | January 03, 2020, at 3:48 PM

The Financial Industry Regulatory Authority separately barred two brokers who, among other infractions, allegedly treated elderly clients badly and then didn’t cooperate with FINRA’s investigations into their actions, according to the regulator.

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