Finra fines former rep $25,000 over unauthorized trades at two firms
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Steven Yellen's trading at Morgan Stanley, Ameriprise violated rules, Finra rules.
Steven Yellen, a former broker at Morgan Stanley and Ameriprise in El Paso, Texas, has been fined $25,000 by the Financial Industry Regulatory Authority Inc. and suspended for one year.
While at Morgan Stanley, from March 2013 through December 2015, Mr. Yellen improperly exercised discretion to pla
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