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FINRA Broker Allegations

Allegations against: Glenn Edwin Bridwell

Allegation type: Regulatory

Allegation status: Final

The allegations read: Without admitting or denying the findings, bridwell consented to the sanction and to the entry of findings that he exercised discretionary power to effect transactions in customer accounts without obtaining prior written authorization from the customers and without his member firm having accepted the accounts as discretionary. The findings stated that the customers had given bridwell implied authority to exercise discretion in their accounts.

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