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FINRA Sanctions Broker James Madden Over Unauthorized Trades

The Financial Industry Regulatory Authority (FINRA) sanctioned broker James Madden (Madden) (Case No. 2014040336501) alleging that from March 2010, to February 2014, Madden exercised discretion in executing transactions in the accounts of l5 customers. FINRA found that Madden had received prior verbal authorization from his customers for the transactions but…

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