Tag Archives: Kelly Clayton Althar

Financial West Group Stockbroker Barred

Kelly Clayton Althar, of San Francisco, California, a stockbroker formerly registered with Financial West Group, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Althar effected trades in a customer’s account on an […]

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Financial West Group Stockbroker Charged With Unsuitable Recommendations

January 19, 2017  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

Kelly Clayton Althar, of San Francisco, California, a stockbroker formerly registered with Financial West Group, has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Althar effected trades in a customer’s account on an excessive basis and made unsuitable investment recommendations to the customer. Department of Enforcement v. Kelly Clayton Althar, […]

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