This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the eighteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the seventeenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the sixteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the twelfth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the eleventh in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the eighth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the sixth of a series of posts to discuss the rules associated with the FINRA disciplinary process.
The Financial Industry Regulatory Authority (FINRA) has levied a $15,000 fine and a 21-month suspension against a former advisor, Jeffrey W. Davidson, based in Austin, Texas. Davidson engaged in fundraising activities that raised over $10 million for a fitness company owned by him and his wife.
A 46-year industry veteran from Braintree, Massachusetts, Timothy W. Leveroni, has settled a disciplinary matter by the Financial Industry Regulatory Authority (FINRA) for falsifying signatures, per a settlement agreement known as an Acceptance Waiver and Consent (“AWC”).
The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 million from at least 10 brokerage account holders and advisory clients.