Posts Tagged ‘Willard Golightly’
CA Broker, Willard Golightly, Suspended by FINRA
In September 2015 Willard Golightly signed an AWC Letter settling allegations that he failed to supervise the sales practices of a representative who made unsuitable trades, namely by over-concentrating his clients’ funds in low-priced securities. Mr. Golightly was suspended from associating with FINRA member firms in all principal capacities for three months.
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