July 13, 2015- Lantana, Florida
Ingrid M. Batchelor , 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 on four occasions to purchase mutual funds totaling $100,000 on behalf of a customer who was temporarily out of the country.
AWC NO. 2014043838001
Batchelor was fined $5,000 and suspended for 10 business days.
According to FINRA records, Batchelor joined Cetera Financial Specialists in June 2004 and resigned in December 2014 after the firm alleged that she failed to disclose and obtain pre-approval form the firm to act as power of attorney on a client account. She is not currently registered.
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.
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