April 18, 2022
Robert David Jr. recently entered into a FINRA Acceptance, Waiver, and Consent. David allegedly falsified customer’s profile information, increasing their net worth and liquid net worth, and changing their risk tolerance. David also allegedly overconcentrated customer accounts and exercised discretion in customer accounts without prior written authorization. He consented, without confirming or denying the allegations, to a 20-month suspension from associating with any FINRA member and a $15,000 fine.
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