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November 20, 2014
Minnesota Broker Barred by FINRA for Selling Penny Stock From His Personal Accounts

Thomas Neil Charbonneau (CRD #44868, Arden Hills, Minnesota) was barred by FINRA for allegedly selling nearly 1.7 million shares of a speculative penny stock from his own accounts which generated $400,000. According to FINRA, Charbonneau solicited the purchase of the speculative penny stock to his clients without disclosing that he was selling the stock from […]

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