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 AttorneyDec 7, 20182 minFINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment RecommendaThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S....
Staff AttorneyNov 24, 20182 minFormer AISG Financial Advisor Thomas Logue Barred for Potential Violations of Federal Securities LawFormer AISG financial advisor, Thomas Joseph Logue, Jr. (Logue), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyOct 30, 20182 minFINRA Brings Complaint against LPL Broker Brian Lawrence Stephan for Unsuitable Mutual Fund RecommenThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Brian Lawrence Stephan (Stephan) in connection...