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Articles Tagged with CFP

Ameriprise Financial terminated Philip H. Sheridan (CRD#: 2694126) on July 10, 2019 for “compliance policy violations related to exercising discretion in non-discretionary accounts, providing unapproved research/sales literature to clients and conducting business from an unregistered location,” according to his BrokerCheck record accessed on August 23, 2019. While Philip H. Sheridan formerly worked for Ameriprise Financial […]

The Certified Financial Planner Board of Standards, which issues the prestigious Certified Financial Planner (CFP) designation, announced in a press release to PR Newswire on August 5, 2019, that they had sanctioned 12 financial planners for violating FINRA rules or the CFP Code of Conduct. Violations include failing to disclose outside business activities and selling […]

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

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