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The Investor’s Watchdog

The Investor's Watchdog
Wednesday, October 18, 2017 Broker Suspended after FINRA Alleges Unsuitable Recommendations Author: Jason T. Albin

On September 23, 2017, former registered representative Donald Southwick entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations FINRA made against him regarding violations of securities industry rules. Southwick was previously associated with CSSC Brokerage Services, Inc. (CSSC Brokerage) in Troy, […]