{"id":2589,"date":"2017-01-31T00:00:00","date_gmt":"2017-01-31T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/broker-paul-mclellan-alexander-jr-fined-suspended-fired\/"},"modified":"2018-10-08T12:37:37","modified_gmt":"2018-10-08T16:37:37","slug":"broker-paul-mclellan-alexander-jr-fined-suspended-fired","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-paul-mclellan-alexander-jr-fined-suspended-fired\/","title":{"rendered":"Broker Paul McLellan Alexander, Jr. Fined, Suspended, and Fired"},"content":{"rendered":"

\"Broker<\/p>\n

The Florida broker has been charged with numerous violations over the past three years<\/h2>\n

The Financial Industry Regulatory Authority (FINRA) recently suspended broker Paul McLellan Alexander, Jr. after finding that he made transactions while exercising discretion, though he didn\u2019t have written authorization from his clients. His firm reportedly hadn\u2019t accepted the accounts as discretionary, either. Although he didn\u2019t admit or deny the charges, Alexander agreed to the 20-day suspension and to pay a fine of $5,000.<\/p>\n

Over 14 years, Alexander worked for three firms, beginning with A. G. Edwards & Sons, Inc. out of St. Louis, MO. He then moved to Palm Beach Gardens, FL, where he first joined Merrill Lynch, Pierce, Fenner & Smith Inc. and then Raymond James & Associates, Inc. Currently not registered with a firm, Alexander was permitted to resign from Raymond James after admitting that he had taken time and price discretion for his clients.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Florida broker has been charged with numerous violations over the past three years The Financial Industry Regulatory Authority (FINRA) recently suspended broker Paul McLellan Alexander, Jr. after finding that he made transactions while exercising discretion, though he didn\u2019t have written authorization from his clients. His firm reportedly hadn\u2019t accepted the accounts as discretionary, either. […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[229,9],"class_list":["post-2589","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-broker-suspended-and-fired","tag-finra"],"yoast_head":"\nCheck out the new article Broker Paul McLellan Alexander, Jr. Fined, Suspended, and Fired<\/title>\n<meta name=\"description\" content=\"Check out the new article Broker Paul McLellan Alexander, Jr. Fined, Suspended, and Fired on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/broker-paul-mclellan-alexander-jr-fined-suspended-fired\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" 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