Staff AttorneyMay 11, 20192 minFINRA Bars Robert Todd Clark for Failing to Cooperate with Investigation Regarding Stolen Customer FFormer Moors & Cabot financial advisor, Robert Todd Clark (Clark), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyNov 28, 20172 minFormer Oppenheimer Broker Jason Likens Disciplined for Borrowing from Elderly CustomerThe Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Jason Hunter Likens...