Thursday, June 18, 2015

6 South Florida residents, 1 company hit with FINRA discipline actions

Miramar resident Sylvester King, Jr. agreed to a $35,000 fine and an 18-month ban from the securities industry in response to charges that he helped another broker conceal hundreds of thousands of dollars of customer loans – some of which went to professional athletes in the NBA and NFL, according to the Financial Industry Regulatory Authority. King, Jr. is one of six South Florida individuals and one company hit with disciplinary actions in the past month by the regulator. King, Jr. entered…

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