FINRA Fines and Suspends Boca Raton Stockbroker
Boca Raton resident Jennifer Trowbridge, who was a broker with Essex Securities, agreed to a $10,000 fine and a two month suspension from the securities industry for making unsuitable investment recommendations in seven customer accounts. Trowbridge made the bad mutual fund trades, called mutual fund switches, on at least 29 occasions, resulting in Trowbridge’s customers being charged $60,000 in unnecessary commissions.
If you believe you have been charged unnecessary commission fees, contact FINRA arbitration lawyers for a consultation. With offices in Los Angeles, New York City and Miami, FINRA arbitration lawyers at Dimond Kaplan & Rothstein, P.A. are available for in-person consultations. Contact us today to set up an appointment.