The Financial Industry Regulatory Authority (FINRA) has suspended an Alabama financial advisor for five months and fined him $5,000, after he failed to disclose his arrest on child sexual abuse charges last year.
The Financial Industry Regulatory Authority has suspended an Alabama financial advisor for five months and fined him $5,000, after he failed to disclose his arrest on child sexual abuse charges last year.
FINRA, a private organization authorized by the U.S. government, regulates and registers brokers and brokerage firms. Financial advisors are required to disclose on their Securities and Exchange Commission Investment Adviser Public Disclosure forms any arrest, according to documents.and to the finding “that he willfully failed to amend” a disclosure form.
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