Investment Dealer Fined $150,000 for Failure to Supervise Stockbroker

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Finance Noticias

Investment Dealer,Fine,Supervision

Leede Jones Gable Inc. has been fined $150,000 for failing to adequately supervise stockbroker Larry Martin, who admitted to facilitating unprofitable transactions involving millions of dollars’ worth of shares.

Investment dealer Leede Jones Gable Inc. has been fined $150,000 for failing to “adequately supervise” stockbroker Larry Martin, who had previously admitted to facilitating unprofitable transactions involving millions of dollars’ worth of shares of companies linked to the Bridgemark Group consulting case.

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