Learn why FINRA suspended Jarrett Carter Thomas and what you need to know about unauthorized transactions and the risk they pose to investment accounts.
Broker / Advisor Investigations
Advisors are held to high standards not only in how they treat client The securities industry relies on clear rules from the Financial Industry Regulatory[...]
Advisors are held to high standards not only in how they treat client accounts but also in how they respond to regulatory investigations. When those[...]
FINRA holds brokers to strict standards of transparency and cooperation, especially during active investigations. When those standards are ignored, disciplinary action can follow. Mark Frederic[...]
Financial professionals are expected to follow strict rules when it comes to transparency, disclosure and regulatory cooperation. When those standards are ignored, both investor trust[...]
Even seasoned advisors can overstep critical compliance boundaries sometimes without their clients fully realizing it. That’s the case for William Worthen King (CRD #1432593) of[...]
A long-tenured broker with over three decades of experience, Bentley Thomas Beard (CRD#: 2024985) is now facing increased scrutiny following a pending arbitration case involving[...]
Investors trust their brokers to provide sound, personalized advice, not to put their portfolios at risk for the sake of generating commissions. But the financial[...]
Jason Lamb (CRD#: 3248356), a broker currently registered with Arete Wealth Management in Nashville, Tennessee, is facing mounting legal scrutiny following a wave of investor[...]
When financial advisors step outside the lines, the consequences can be serious — both for their clients and their careers. That’s exactly what happened in[...]