Mark Gilbert Beesley, a former stockbroker with Arthur W. Wood Company Inc. in Boston, Massachusetts, has been barred by Financial Industry Regulatory Authority (FINRA) effective October 17, 2024. The decision follows Beesley’s refusal to provide on-the-record testimony as part of a FINRA investigation into allegations of undisclosed outside business activities. Letter of Acceptance, Waiver, and…
Wood (Arthur W.) Company, Inc., headquartered in Boston, Massachusetts, has been fined $10,000.00 and statutory disqualified by Financial Industry Regulatory Authority (FINRA) pursuant to a National Adjudicatory Council Decision containing findings that the firm, inter alia, charged customers commissions which were excessive, and failed to supervise commissions charged by registered representatives. In the Matter of…
Christopher J. Cowans, a stockbroker formerly registered with Morgan Stanley Smith Barney, has been named in a customer initiated investment related arbitration claim on December 11, 2015, in which the customer has requested $600,000.00 in damages based upon allegations that between March of 2011 and December of 2013, Cowans effected excessive transactions in the customer’s…