Tagged with "felony"

FINRA Suspends Former Merrill Advisor For Failing to Disclose Felony Drug Charges

Posted on September 27th, 2021 at 2:30 PM
FINRA Suspends Former Merrill Advisor For Failing to Disclose Felony Drug Charges

The Financial Industry Regulatory Authority (FINRA) suspended a former Merrill Lynch advisor and fined him $5,000 for failing to disclose two felony drug charges on U4 forms.

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Three Advisers in Hot Water with the CFP Board

Posted on November 9th, 2016 at 9:51 AM
     Three Advisers in Hot Water with the CFP Board

The CFP Board found that adviser Charles Zsarnay of Toledo, Ohio,allegedly copied certain individual drivers’ licenses in violation of Ohio law and failed to promptly disclose to his firm that he had been charged with a felony. 

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