According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…
read moreApril 2019-Bangor, Maine According to publicly available records Robert Kenneth Lindell, , a previously registered stockbroker and former Maine lawmaker, who was last employed by Richfield Orion International, disclose 5…
read moreMarch 2017-New York According to publicly available records Revere Securities LLC , (CRD# 14178) , a FINRA registered broker dealer headquartered in New York City, discloses a pending regulatory matter , 9 prior final…
read moreJune 18, 2015-Boston, MA Lucian D. Hodgman entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…
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