Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Beesley (Beesley), previously associated with Wood (arthur W.) Company, Inc., has at least one disclosable event. These events include one tax lien, alleging that Beesley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 17, 2024.
Without admitting or denying the findings, Beesley consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation concerning whether he had engaged in undisclosed OBAs.
