Another bank rep has joined the roll of individuals ousted from the industry for failing to cooperate with FINRA probes.
Michael Mahabir, a former J.P. Morgan registered rep in Monrovia, California, was barred for failing to provide the regulator with the documents it needed to investigate allegations that he converted funds from a bank customer, according to his settlement with FINRA. Failure to comply with FINRA inquiries automatically results in a bar.
Register or login for access to this item and much more
All Bank Investment Consultant content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access