USA: Disciplinary action filed against California resident
Posted by nileshkokane on 23 November, 2011
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This item was filled under [ Financial Regulators, USA ]
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Richard Michael Large of Clovis, California has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 60 days.
The original article can be found at Financial Industry Regulatory Authority.
