USA: California registered representative fined, suspended by FINRA
Posted by nileshkokane on 6 February, 2012
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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 January 2012, Aric Ellis Kent of Yucaipa, 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 one month.
The original article can be found at Financial Industry Regulatory Authority.
