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March 16, 2018

Martin Earl Brooks Suspended for Alleged Unauthorized Purchases of Real Estate Investments in Customers’ Accounts

On March 16, 2018, FINRA fined Martin Earl Brooks $5,000 and suspended him from associating with firms registered with FINRA for fifteen days.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates stock brokers and brokerage firms. FINRA announced the sanctions in its Letter of Acceptance, Waiver and Consent (AWC).  The AWC states Brooks allegedly

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