Tag Archives: Curt J. High

Brokers Failed to Fess Up About Debts – Fined & Suspended

September 23, 2011  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

The Financial Industry Regulatory Authority, or FINRA does not take kindly to stockbrokers who fail to disclose tax liens, perhaps because such behavior can signal un-trustworthiness, the last thing you want to see in a stockbroker. If you are a stockbroker who fails to timely disclose such liens per FINRA rules, you are likely to […]

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