Sanctions follow stock trade complaint
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- April
- 1
The Financial Industry Regulatory Authority has barred Thomas Joseph Downs from any association with any FINRA member business. Downs, who had addresses in Pleasantville and Peekskill, settled a FINRA complaint without admitting or denying guilt, the agency said in its March disciplinary report. Downs was accused of making two unauthorized trades in two separate accounts, and later ignoring FINRA requests for information on the case. Downs does not have a local telephone listing and could not be reached for comment.
This entry was posted
on Wednesday, April 1st, 2009 at 12:50 pm by Jerry Gleeson.
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Category: Regulatory agencies, Stocks, Tar and feathers
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