January 25, 2013
Credit Card Charges Cancel Career On Wall Street
The AWC alleges that during the relevant period, without RR/IC's permission, Gibbs improperly used the corporate card on 23 occasions to make personal purchases of clothing, groceries, restaurant meals and gasoline totaling $856.84.
Carava allegedly fabricated letters, purporting to show that in response to the subject customer complaint, information had been requested of RR1 and RR2. These letters were subsequently provided to the SEC and FINRA.
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