USA: FINRA files disciplinary actions against individual
Posted by nileshkokane on 25 January, 2011
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This item was filled under [ Financial Regulators, USA ]
As published in Financial Industry Regulatory Authority (FINRA) disciplinary actions report for December, 2010, USA Advanced Planners, Inc., Michael Timothy Rodman and Dennis Clare Tubbergen submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and ordered to pay, jointly and severally with Rodman, partial restitution to customers in the total amount of $351,995, plus interest.
The original article can be found at Financial Industry Regulatory Authority.
