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Articles Posted in WTS Proprietary Trading

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Broker Edward Wendol Barred by FINRA Over Failure to Respond to Outside Business Activity Inquiries

The Financial Industry Regulatory Authority (FINRA) barred broker Edward Wendol (Wendol) concerning allegations that during the course of FINRA’s investigation into whether Wendol was involved in undisclosed outside business and private securities transactions, also known as “selling away”, Wendol failed to respond to FINRA’s requests. On May 29, 2014, FINRA…

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