Former securities representative barred for allegedly refusing to appear for on-the-record testimony
Former securities representative suspended and fined for allegedly impersonating customers to facilitate the transfer of their accounts and funds
Although both types of transfer were made with the consent of customers, they did not give permission to be
Free Trial
Register for free to keep reading.
To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.
- Unlimited access to industry insights
- Stay on top of key rules and regulatory changes with our Rules Navigator
- Ad-free experience with no distractions
- Regular podcasts from trusted external experts
- Fresh compliance and regulatory content every day