FINRA Fines Ex-UBS Broker Mark L. Sullivan $10,000 for 581 Unauthorized Trades
FINRA has fined former UBS broker Mark L. Sullivan $10,000 and suspended him for three months after finding he placed 581 unauthorized trades in two customer accounts without written authorization. Sullivan, who worked in New
FINRA Fines Ex-UBS Broker Mark L. Sullivan $10,000 for 581 Unauthorized Trades Read More »
