FINRA Suspends Ex-Thrivent Rep Who Worked at Animal Hospital
February 18, 2020 by Jeff Berman
Proving once again that it is always best for brokers to inform their firms about any outside business activities, whether it’s selling insurance or even running the office at a vet clinic, the Financial Industry Regulatory Authority sanctioned a former Thrivent representative for engaging in three undisclosed outside business activities.
Without admitting or denying the findings, Angela Marie Chatfield signed a FINRA letter of acceptance, waiver and consent Feb. 12 in which she agreed to a three-month suspension from associating with any FINRA member firm and pay a $5,000 fine. FINRA accepted the letter Friday.
Click HERE to read the full story via ThinkAdvisor