Kevin Edward Looser Suspended for Allegedly Selling Customers Unapproved Securities in His Firm
Adam J. Marquardt
June 6, 2018
On June 4, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) announced it suspended Kevin Edward Looser for from associating with firms registered with FINRA for four months. FINRA registers and regulates securities brokers and brokerage firms. FINRA said it suspended Looser after investigating him and finding that he participated in fourteen private securities transactions
