The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Charles Rainsford Marks Jr. (CRD #4727907, Registered Representative, South Jacksonville, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days. The […]

In an article from the New York Times, October 18th., 2011, John Wasik writes that if you’re concerned about whether an adviser’s parent firm is going to survive a crisis or if you’re not happy with your portfolio, there are some important questions to ask before you make a change to a new wealth manager. […]