• News Ticker alerts

The Financial Industry Regulatory Authority (FINRA) has banned John William Grant from association with FINRA members. Grant, who then worked for Torrey Pines Securities, made $1.1 million in trades, amounting to $11,500 in commissions, in an account in which there had been no activity, other than accumulation of interest and dividends, for a year and a half. Grant consented to the FINRA action banning him without admitting or denying the allegations.

  • News Ticker alerts

Comments

Sign in to comment

Join our
newsletter list

Enter to win $25 at Broken Yolk Cafe

Each newsletter subscription
means another chance to win!

Close