When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Non Securities Related. Registered Rep was terminated for sending an email to her personal email address that included proprietary firm information. The Registered Rep has since signed a data deletion affirmation confirming the removal of the information, and that it was not shared with anyone. No known customer or firm harm at the time of filing.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.