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…
read moreFebruary 3, 2015-Augusta, Maine Judith Shaw, administrator of Maine’s Office of Securities, is scheduled to testify before the U.S. Senate Special Committee on Aging according to the Portland Press Herald.…
read moreJanuary 27, 2015-Augusta, Maine A public forum on how older citizens can successfully “Age in Place….At Home” will be held on Sunday, February 1, 2015, in Jewett Hall Auditorium at…
read moreNovember 20, 2014 The Financial Industry Regulatory Authority (FINRA) sanctioned broker Malcolm McGreggor Meikle by assessing a fine of $10,000 and suspending his securities registration for 20 days to resolve…
read moreThe State of Maine, Office of Securities , in their effort to keep Maine investors informed, has published the following Investor Alerts, which are available here: What is Virtual Currency? Financial…
read moreIn September 2014, as part of a multi state investigation, the Maine Office of Securities found that J.P. Morgan Securities failed to establish an adequate supervisory system to monitor the…
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