Securities Arbitration Lawyers BlogWFG Investments Broker Carl Busch Fined and Suspended by FINRA
Broker’s record includes failure to supervise, tax liens and civil judgments.
In his 46 years in the securities industry, Oklahoma City investment advisor Carl Busch has six disclosure events listed on his official FINRA BrokerCheck record. The most recent event in December 2015 shows that FINRA sanctioned Busch $5,000 and suspended him from participating in the securities industry as an advisor for 45 days.
According to the disciplinary action details, Busch failed to adequately supervise a registered representative of his firm, WFG Investments, who allegedly: