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Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 13, 2015

Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in violation of NASD Rule 2510(b) and FINRA Rule 2010.

Bachelor was suspended for 10 days and fined $5,000.

FINRA AWC 2014043838001

According to FINRA records, Bachelor was registered with Cetera Financial Specialists in Coral Springs, FL from 6/2004-12/2014.

A discretionary account allows a broker to buy and sell securities without the client’s consent. The client must sign a discretionary trading authority form granting the broker permission to handle the account in such a manner.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

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Florida-561 391 1900 

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