Caroline Korn, Pinnacle Investments Broker, Suspended for Alleged Unsuitable Mutual Funds Trades
Adam J. Marquardt
April 26, 2018
FINRA announced it suspended Caroline Korn from associating with firms registered with FINRA. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. FINRA announced Korn’s suspension on February 16, 2018 in a Letter of Acceptance, Waiver and Consent (AWC). The AWC stated FINRA suspended Korn for four months for allegedly
