A general securities representative settled FINRA charges for exercising discretion in customers' accounts without receiving prior written authorization in violation of FINRA Rule 2010 ("Standards of Commercial Honor and Principles of Trade") and NASD Rule 2510(b) ("Authorization and Acceptance of Accounts").
To settle the charges, the general securities representative agreed to a one-month suspension.
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The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
