June 19, 2018 BY Valentina Kirilova
Firm expelled from FINRA membership for allowing broker to work while suspended
Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel permanently barred broker Bruce Martin Zipper of Miami, FL, for continuing to conduct firm business while serving a three-month suspension. The hearing panel also expelled his firm, Dakota Securities, from FINRA membership for not adequately supervising Zipper, allowing him to associate while suspended…
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