TAG | breaching fiduciary duty by broker
Comments off · Posted by Securities Lawyer in FINRA
Gary Lee Cousino (CRD #726486, Registered Representative, Mackinac Island, Michigan)
has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cousino consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information regarding its investigation of lawsuits and an arbitration action filed by a prior securities customer alleging, among other things, an unauthorized trade, fraud, unsuitability and breach of fiduciary duty by Cousino.
Cousino stated that through his attorney, he had sent FINRA a letter declining to respond in any manner to FINRA’s requests for information.
(FINRA Case #2010023057601 )
The information was obtained on FINRA’s website, “Disciplinary and Other Actions, June, 2012.”
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