Tag Archives: ARI Financial Services

ARI Financial Services Principal Charged for Failure to Supervise Private Placements

September 11, 2015  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Ponzi Schemes   |   0 Comments

ARI Financial Services, Inc., a FINRA member firm since 2005 headquartered in Kansas, sells private placements directly to investors among other securities via 30 registered reps operating out of 5 branch offices. The firm, along with president and CCO William Candler, were charged by FINRA’s Department of Enforcement in a Complaint alleging various supervisory failures […]

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