Scott Palmer, former Janney Montgomery Broker, Barred by FINRA for Alleged Failure to Cooperate with Investigation
Adam J. Marquardt
April 17, 2018
On April 10, 2018, FINRA announced it barred securities broker Scott Palmer from associating with firms registered with FINRA. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Scott Palmer for declining to provide sworn testimony in
