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.
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.
Read the full article from Think Advisor.