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February 5, 2015
Maine Broker Fined and Suspended by FINRA Over Purchase of UITs Without Authorization

Soreide Law Group has obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2015.” Malcolm McGreggor Meikle Jr. (CRD #331313, Standish, Maine) was assessed a deferred fine of $10,000 and suspended by FINRA for 20 business days for allegedly purchasing Unit Investment Trusts (UITs) for clients without prior […]

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