Broker Fined and Suspended

Broker Fined and Suspended Posted on Monday, August 8, 2016 at 3:11 PM From the Desk of Jim Eccleston at Eccleston Law LLC: A Texas broker named William Wesley Marshall, associated with Ameriprise Financial Services, Inc. in its Plano, Texas office, was fined $10,000 and suspended for 15 months by FINRA. FINRA asserted that Mr. Marshall participated in the sale of $1.Read the full article