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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.

finra 2In 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.

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