Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Fochi (Fochi), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one tax lien, alleging that Fochi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on May 23, 2023.
As a result of the RR’s October 6, 2021 FINRA Consent Order, the State of Connecticut Insurance Department entered a Stipulation and Consent Order for the purpose of the RR maintaining his Connecticut resident producer license. The Order requires twelve months of probation and the completion of an online educational course.
