Mon, 08 Mar, 2021 - 11:42
As a registered and licensed securities dealer in New York and London (proudly and foremost a Kerryman) I am reminded of the enigmatic quote of “absolute cowboys Ted” when it comes to the Davy Stockbrokers scandal.
If this happened here in New York, it would warrant: 1) revocation of securities licenses; 2) banning from partaking in the financial industry; 3) investigation by both FINRA and the SEC; and 4) likely jail time in some prison out in Indiana.
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