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June 24, 2014
Pennsylvania Broker Barred by FINRA for Misappropriation of Clients' Funds

Christopher Somes Babcock (CRD #5004907, Wayne, Pennsylvania) was barred by FINRA for allegedly receiving approx. $160,000 from his customers after he had his customers wire money from their firm accounts to their personal accounts and then they wired the money to Babcock or wrote a check payable to him. According to the FINRA report, the […]

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