PhD Stockbroker Fined And Suspended For Dubious Degree

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Robert Joseph Eanell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Matter of Robert Joseph Eanell, Respondent (AWC, 2011028386201, September 19, 2012). Eanell first became registered in 1996 and from June 2004 through August 17, 2012, he was registered with Sterling Enterprises Group, Inc. Read more on Forbes here.

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