In addition to the 30-day suspension, Kimberly E. Nuessmann also agreed to pay a $5,000 fine.
Nuessman, who didn’t admit or deny the agency’s findings, has reportedly been a registered rep and broker with Securities America since 2011.
Estimated reading time: 0 minutes, 22 seconds
Finra Suspends Broker Who Impersonated Dead Relative
The Financial Industry Regulatory Authority has suspended a former Securities America broker for allegedly impersonating a dead relative who was an ex-client of the firm. So reports Think Advisor.
Most Read
-
-
Feb 21 2011
-
Written by Administrator
Add us to your Safe Sender list: We want to…
-
-
-
Nov 07 2012
-
Written by Administrator
Progressive Media Group Subscription Agreement This agreement states the general…
-
-
-
Mar 09 2013
-
Written by Staff Writer
While market bulls are understandably cheering the ongoing equity rally…
-
-
-
Nov 07 2012
-
Written by Administrator
Welcome We’re glad you chose to visit a Progressive Media…
-