FINRA Suspends Ex-Wells Fargo Broker

Rogge Dunn Quoted in AdvisorHub Article – “FINRA Suspends Ex-Wells Fargo Broker over Personal Email Use”

The article reads:

The Financial Industry Regulatory Authority has slapped a veteran independent broker in Virginia with a fine and suspension for using his personal email and computer to communicate with clients in violation of industry rules.

Raleigh Kraft, who is now with independent brokerage H. Beck Inc. in Front Royal, Virginia, agreed to a two-month suspension and $5,000 fine for violating Finra’s wide-ranging Rule 2010 requiring brokers and firms to maintain “high standards of commercial honor,” as well as Wells’ policies on client communication.

To see the full article, click here.

FINRA Suspends Ex-Wells Fargo Broker Over Personal Email Use

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