Jeffrey Richard Epstein was suspended from association with any FINRA member for 10 business days due to exercising discretion in a customer's account without authorization. No monetary sanctions were imposed due to his financial status.
documents/vol00010-efta01363433-pdf.pdf
{"title":"FINRA Disciplinary Action against Jeffrey Richard Epstein","key_people":["Jeffrey Richard Epstein"],"document_date":"2012-04-16","document_type":"government","document_subtype":"FINRA disciplinary action","key_organizations":["FINRA"],"reference_numbers":["2010023272301"]}