A.G. Edwards fined for poor supervision
An NASD arbitration panel found A.G. Edwards liable for $258,300 for failure to properly supervise broker Robert Canfield.
An NASD arbitration panel found A.G. Edwards & Sons Inc. liable for $258,300 for failure to properly supervise broker Robert Canfield.
In 2004, Stephen Sokol attended an A.G. Edwards seminar, after which Mr. Sokol opened an account with A.G. Edwards and transferred in a number of securities purchas
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