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April 21, 2015
New York Broker Barred by FINRA for Allegedly Issuing Unauthorized ATM Cards to Clients, Some of Whom Were Deceased

Jonathan A. Francis (CRD #5204602, Brooklyn, New York) was barred by FINRA for allegedly issuing unauthorized ATM cards for the accounts of bank customers, some of whom were dead, as part of a scheme to convert $210,000 in customer funds. FINRA's findings stated that during the course of FINRA’s investigation, Francis failed to respond fully […]

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