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Ex-Raymond James Rep Made Unauthorized Trades in Older Client's Account: FINRA
News March 05, 2025 at 03:02 PM
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What You Need To Know
- FINRA suspended the rep for three months and ordered him to pay $23,000.
- The rep also submitted two false compliance attestations to Raymond James, FINRA says.
- The rep knew the customer could not understand or authorize trades for her account due to her diminished capacity, according to the regulator.
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