May 24, 2018

Peter Holler, Ex-Securities Service Broker, Suspended for Two Years for Selling Securities of Woodbridge Fund Ponzi Scheme

On May 21, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended Peter Holler from associating with firms registered with FINRA for two years and fined him $10,000.  FINRA—the self-regulator of brokers and brokerage firms—announced the sanction in a Letter of Acceptance, Waiver, and Consent (AWC). FINRA alleged that, between September 2016 and August 2017,

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