$5.25M Producer Suspended for Private Securities Transactions

$5.25M Producer Suspended for Private Securities Transactions Posted on Friday, September 2, 2016 at 11:18 AM From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has suspended financial advisor Adam Estes of Bloomington, Indiana, for 15 months after finding that he engaged in private securities transactions without his firm's permission. Along with his suspension, Mr.Read the full article