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...

November 28, 2017

The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Jason Hunter Likens (Likens) (FINRA No. 2016049871601). The underlying basis of the enforcement action concerned allegations Likens borrowed funds from two customers, including an elderly client, without disclosing the loans to his em...

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