Broker dates client, pockets cash

By Staff | January 11, 2013 | Last updated on January 11, 2013
1 min read

Bill Singer of Forbes.com has dug up an amusing FINRA enforcement document detailing the misdeeds of a stockbroker who dated a customer and made off with cash she gave him for investment purposes.

Also read:

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Did FINRA let Corzine’s registration lapse?

SEC report called a “sham”

Broker busted for CE cheat sheet

Staff

The staff of Advisor.ca have been covering news for financial advisors since 1998.

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