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The Financial Industry Regulatory Authority (FINRA) has banned John William Grant from association with FINRA members. Grant, who then worked for Torrey Pines Securities, made $1.1 million in trades, amounting to $11,500 in commissions, in an account in which there had been no activity, other than accumulation of interest and dividends, for a year and a half. Grant consented to the FINRA action banning him without admitting or denying the allegations.
The Financial Industry Regulatory Authority (FINRA) has banned John William Grant from association with FINRA members. Grant, who then worked for Torrey Pines Securities, made $1.1 million in trades, amounting to $11,500 in commissions, in an account in which there had been no activity, other than accumulation of interest and dividends, for a year and a half. Grant consented to the FINRA action banning him without admitting or denying the allegations.