Finra bars no-show broker in New Jersey

Ron Ison attended partial-day hearing, then declined Finra's invitation to more

Apr 16, 2018 @ 1:55 pm

By InvestmentNews

The Financial Industry Regulatory Authority has barred Ron Ison from the securities industry for declining to appear at hearings called to look into alleged unauthorized and unsuitable trading.

Mr. Ison, who had been at the brokerage firm of Buckman, Buckman & Reid in Little Silver, N.J., had taken part in a partial day hearing on March 15, Finra said. After that, he told the self-regulatory-agency that he would not take part in additional hearings that were scheduled for later that month.

Mr. Ison began his securities career in 1998 and worked at nine firms before joining BB&R in 2010.


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