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September 2, 2013
Pennsylvania Broker Fined and Suspended for Acting as Executor of Client's Will Against the Procedures of His Member Firm

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Warren Leroy Troutman (CRD #449648, Registered Representative, Freeport, Pennsylvania) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting […]

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