US Edition2022077330501 Joseph A. Eisler CRD 2503507 AWC lp.pdf
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2022077330501 Joseph A. Eisler CRD 2503507 AWC lp.pdf
From at least August 2014 to June 2022, Eisler allocated shares of new issues to a customer in exchange for a portion of the customer’s realized profits when the stock was sold, in the form of excessive compensation on unrelated transactions. Moreover, Eisler shared in the profits in his customer’s account despite not obtaining prior written authorization from his firm or from the customer. As a result, he violated FINRA Rules 5131(a), 2150(c), …
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