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Home>Former Broker Suspended, Fined for Markups

Former Broker Suspended, Fined for Markups

Financial Planning News

Mon, 15 Jul 2013

A Financial Industry Regulatory hearing panel has suspended former broker Anthony Grey for two years, fined him $30,000, and ordered him to disgorge $16,000 in ill-gotten gains for routing muni bond trades through his personal accounts before selling

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