May 11, 2019

Former Moors & Cabot financial advisor, Robert Todd Clark (Clark), recently settled allegations with the Financial Industry Regulatory Authority (FINRA) following an enforcement action.  FINRA investigated Clark’s alleged unsuitable investment recommendations and executed unauthorized trades in a customer account.  As a consequence of Clark’s failu...

April 18, 2019

Former Benjamin & Jerold financial advisor, Juergen Weber (Weber), recently settled allegations with the Financial Industry Regulatory Authority (FINRA) following an enforcement action.  FINRA investigated Weber’s alleged unsuitable investment recommendations and executed unauthorized trades in a customer account.  As a consequence of Weber’s failu...