Engaging in private securities transactions has earned financial advisor William LeBoeuf a fine and suspension by the Financial Industry Regulatory Authority (FINRA). The transactions in question were performed while he was a registered representative initially of Merrill Lynch and then with Cetera. Private securities transactions of LeBoeuf According to FINRA, LaBoeuf’s dabbling in private securities …
source https://financialadvisorcomplaints.com/cetera-complaints-william-leboeuf-suspended-by-finra-for-private-securities-transactions/
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