Reps fined, banned for personal financial dealings with clients
Question of whether client used stop loss orders requires hearing, court rules
SRO panel found the rep opened banking products, including a line of credit, in the client's name
Former fund rep fined, banned by regulators for misappropriation
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
Allegations include improper personal financial dealings and misleading investigators