USA: Stephen N. Richards barred by FINRA
Posted by nileshkokane on 5 October, 2010
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This item was filled under [ Financial Regulators, USA ]
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions September 2010, Stephen N. Richards was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Richards consented to the described sanction and to the entry of findings that he made a series of changes to the account of a deceased customer, including changing the account address to that of his member firm, the name on the account, and an instruction on the account in order to allow redemptions to be wired to his personal account.
The complete article can be found at the Financial Industry Regulatory Authority.
