ARI FINANCIAL SERVICES INC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. ARI Financial Services, Inc. CRD No. 137608 And William Brian Candler, CRD No. 2802438 Respondents. Disciplinary Proceeding No. 2010023883601 Hearing Officer MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 23, 2016 INTRODUCTION Disciplinary Proceeding No. 2010023883601 was filed on May 15, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
05/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ARI Financial Services, Inc. CRD No. 137608 and William Brian Candler, CRD No. 2802438 Respondents. DISCIPLINARY PROCEEDING No. 2010023883601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. ARI Financial Services, Inc. (ARI or the Firm), a FINRA member firm, and William Brian Candler, the Firm's President and former Chief Compliance Officer (CCO), facilitated at least ten private
Reference 2010023883601data-portal.finra.orgdata-portal.finra.orgfinra.org
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